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Company: Investment Industry Regulatory Organization of Canada

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handshaking and exchanging contract documents

The relationship with IIROC may change how firms approach OBSI inquiries, a letter says

Firm had been suspended since 2015

Advisor exams uncover cybersecurity deficiencies: NASAA

Firms must report breaches within three days

Closeup of mallet being hit on stacked coins at table in courtroom

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

The members will provide the SRO with policy advice

Compliance Rules Law Regulation Policy Business Technology concept.

A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

The procedure was contrary to the order-exposure rule

Compliance Legal Rule Compliancy Conformity Concept

The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability

usiness team in a meeting looking at a sheet of paper

The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients

usinessman holding binoculars with tie and shirt on cityscape

The heads of the MFDA and IIROC squared off on the future of SROs

  • By: Katie Keir
  • September 26, 2019 October 17, 2019
  • 15:49