Advisor did not comply with the dealer’s own guidelines for leveraged ETFs
Regulator reports that it received 324 proficiency exemption applications last year
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having an impact
An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed
The two clients are affiliates of the investment dealer
Fraudsters are misrepresenting themselves as IIROC-regulated investment dealers
The self-regulatory organization expects firms to rebate the portion of a mutual fund’s trailing commission that is related to advice
Information sharing is essential for mitigating cyber threats to investment delears
While IIROC works on amendments, it asks dealers to voluntarily report cybersecurity incidents
Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities