Home Investment Industry Regulatory Organization of Canada

The request follows recent changes to the self-regulatory organization’s continuing education rules

  • February 5, 2018 February 5, 2018
  • 12:10

The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading

Contnuing education concept: pixelated words continuing education on digital background, 3d render

The goal is to create, maintain and promote high proficiency standards

closeup of sheet of paper filled with calculations with pencil

Former reps that return to the industry would no longer be able to use the CSC and CPH to satisfy their CE requirements

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

Gavel and legal books

Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says

FSCO reports decrease in insurance advisors’ compliance rates

Emphasis is on CRM2, cybersecurity and conflicts of interest

IIROC reaches settlement with three former All Group reps

The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm

Equities drive Q1 gains for Canadian DB pensions: Northern Trust

The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign

IAP calls on regulators to eliminate embedded compensation

The current approach to calculating a minimum fee is unnecessarily complex