Home Investment Industry Regulatory Organization of Canada

Company: Investment Industry Regulatory Organization of Canada

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New SRO aims to harmonize requirements for fund dealers and investment dealers

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The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it

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Fees for investment dealers to rise 6.4%, annual report says

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Proposal revises conservative approach initially sought by IIROC

Stacked white books on rules and regulations

Commission structures, account transfer standards and dual registration are all in the works

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Regulator will issue penalties, without hearings, for minor rule violations

rules and regulations

Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle


An Ontario court rejected an appeal over IIROC sanctions

New branding would replace existing logos by the end of 2024

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A review identified gaps in addressing conflicts associated with proprietary products