Company: Investment Industry Regulatory Organization of Canada

1126 results found
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In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers

  • By: IE Staff
  • July 27, 2021 July 27, 2021
  • 13:45
think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1

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Industry firms have been targeted with campaigns impersonating regulators

client meeting

New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors

Three questions to ask to protect yourself and your business


Misguided faith in tactical trading strategy led to the violations

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With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports

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An oversight examination has uncovered just one "low-priority" issue with market surveillance

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The regulator reduced penalties against an advisor after finding errors in the SRO's decision

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The proposals are out for a 60-day comment period