Exemption provided for ADRs
IIROC bans Dass for misuse of client funds
Jenset permitted a non-registrant to perform “know your client” obligations
Bourque leaving to become a partner at Deloitte
A review panel of the Investment Regulatory Organization of Canada has dismissed the request for review by Credifinance Securities Ltd., IIROC said Tuesday.An IIROC hearing panel suspended the membership of Credifinance following an expedited hearing in Toronto on March 6.The hearing panel also ordered that Credifinance comply with IIROC dealer member Rule 600 throughout the […]
Lamontagne handed six-month suspension by IIROC panel
The Investment Industry Regulatory Organization of Canada is proposing amendments to its rules that are designed to simplify a new methodology for margining equity securities.The regulator is seeking comment on rule changes that it says “would simplify a number of processes for IIROC staff and dealer members regarding the implementation and ongoing support of the […]
Golden Capital Securities Ltd. intends to seek leave to appeal a British Columbia Securities Commission panel decision to uphold disciplinary action taken by the Investment Industry Regulatory Organization of Canada (IIROC) against the firm, IIROC said Monday.In late 2007 and early 2008, an IIROC hearing panel found that Golden Capital contravened IIROC bylaws by withholding […]
New rule meant to clarify IIROC’s position regarding the management of conflicts of interest
Amendments designed to ensure definition specifically refers to all investment products