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Company: Investment Industry Regulatory Organization of Canada

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gavel with $100-bill background

The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings

Bond prices table, fountain pen

IIROC will publish one- and three-month BA rates on its website beginning in January 2019

Gavel and judgement on desk

The majority of respondents said the proposed fines for minor rule violations were too low and should be raised

town streets on the plan

Advisors can see how financial health is distributed in their communities

Toronto skyline from center island

Proposed settlement concern the dealer’s oversight of fee-based accounts

Halifax, Nova Scotia, Waterfront

Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit

closeup of on table in empty corporate conference room

Paul Allison of Raymond James elected chairman

  • By: IE Staff
  • September 26, 2018 September 26, 2018
  • 11:00
Closeup of mallet being hit on stacked coins at table in courtroom

The advisor later admitted to making unsuitable recommendations to clients

Business People Meeting Discussion in a boardroom concept

Members will gather to elect directors

  • August 30, 2018 August 30, 2018
  • 15:45
Businessman making presentation with his colleagues and business strategy digital layer effect at the office as concept

The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan