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Company: Investment Industry Regulatory Organization of Canada

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compliance puzzle

CSA, SROs provide guidance on client-focused reforms requirements

Grand opening, cutting red ribbon

Board has three new members

  • By: IE Staff
  • September 23, 2020 September 23, 2020
  • 14:48
Couple getting financial retirement advice from consultant at home

The CSA warns the industry against abuses as bans loom for trailers, DSCs

Law.

The firm reported that clients had paid trailers on fee-based accounts

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Rep sought halt of nine-month suspension, pending review of IIROC ruling

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

IIROC suggests electronic proceedings may continue post-pandemic

  • By: IE Staff
  • September 15, 2020 September 15, 2020
  • 15:09
suspicious client

Respondents to a poll favoured enhanced oversight and comprehensive SRO reform

Court.

Ex-rep sentenced to jail and ordered to repay firm

tax inspector investigating financial documents

IIROC launches first phase of government debt reporting

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

New report explores the costs and benefits of an IIROC/MFDA merger