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Company: Investment Industry Regulatory Organization of Canada

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Judge gavel, scales of justice and law books in court

But the total number of decisions rendered by IIROC hearing panels against both firms and advisors increased year-over-year

Stacked white books on rules and regulations

Focus is on enhanced testing, compensation-related conflicts

  • By: IE Staff
  • January 15, 2019 February 15, 2019
  • 15:35
Closeup of mallet being hit on stacked coins at table in courtroom

The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts

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The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International

Overhead view of young business men shaking hands

Each party has different roles and responsibilities, and different regulatory obligations, to the client

hand of a businesswoman at her desk with a pen and a clipboard

The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals

Quebec flag billowing in the breeze

An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration

Business meeting concept illustration in an aerial view with people sitting around a conference table

Planned BCP test to coincide with test in the U.S.

gavel with $100-bill background

More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been

Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement