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Company: Investment Industry Regulatory Organization of Canada

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10380127 - building silhouettes of a city and flag

The Canadian Securities Administrators say the new SRO's CEO will be named in the coming weeks

angry client meeting

CSA, CCIR propose new cost reporting requirements for investment and seg funds

new memo employee appointment notice promotion

Multiple firms made announcements, plus BMO's Auerbach released a long-awaited retirement note

  • By: Katie Keir
  • April 22, 2022 April 22, 2022
  • 14:02
gavel

Ontario judge sides with MFDA in attempt to collect sanctions

stock exchange

Broker admitted to violating IIROC rules in connection with an undisclosed payment

Judge gavel, scales of justice and law books in court

The investment dealer failed to identify and review suspicious trader activity

  • By: IE Staff
  • April 7, 2022 April 7, 2022
  • 11:45
papers on a desk

Interim rules coming in May, with new CEO, board to be named in Q2

Financial accounting business sheet calculator

Panel handed down tougher sanctions than SRO sought

rules and regulations

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

Increasingly cybersecurity seen as a strategic, systemic concern: Moody's