Nine committees disbanded
Brokerage failed to ensure clients were accredited investors
Buskell dealt permanent ban
Regulator concerned that investor protection could be weakend
The Investment Industry Regulatory Organization of Canada (IIROC) has published amendments to its trading rules to conform with changes to best execution obligations that are being made by the provincial regulators.The amendments:> conform requirements under IIROC’s trading rules consistent with changes by the Canadian Securities Administrators to its trading rules;> clarify the circumstances when a […]
Ruling restricts regulators’s authority to members only
Discount brokerage failed to review trading of speculative OTC securities
The Investment Industry Regulatory Organization of Canada has announced timelines for the implementation of the new methodology for margining equity securities.The new methodology will apply to securities listed (other than bonds and debentures) on any recognized exchange in Canada or the U.S. margin rates for these securities will normally be made available to firms via […]
IDA, RS combine to form Investment Industry Regulatory Organization of Canada
SRO begins operations June 1