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Company: Investment Industry Regulatory Organization of Canada

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A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

NSSC rejects rep’s bid to stay disciplinary action

Rep sought halt of nine-month suspension, pending review of IIROC ruling

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Are virtual hearings here to stay?

IIROC suggests electronic proceedings may continue post-pandemic

  • By: IE Staff
  • September 15, 2020 September 15, 2020
  • 15:09
suspicious client

Investors would welcome toothier watchdogs

Respondents to a poll favoured enhanced oversight and comprehensive SRO reform

Court.

Former advisor heads to jail for fraud

Ex-rep sentenced to jail and ordered to repay firm

tax inspector investigating financial documents

Boosting bond market transparency

IIROC launches first phase of government debt reporting

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

SRO merger could save industry up to half a billion dollars: Deloitte

New report explores the costs and benefits of an IIROC/MFDA merger

advisor client meeting

IIROC launches consultation on competency requirements for reps

Comments on proposed requirements for registered representatives and investment representatives are due in November

  • By: IE Staff
  • August 18, 2020 August 18, 2020
  • 11:22
Horn speaker for public relations sign symbol, vintage color - sun with blue sky

IIROC provides funding for investor legal aid

The SRO will offer five years of funding to the Osgoode Investor Protection Clinic

gavel

Court appoints counsel for investors in PACE Securities wind-up

PACE Credit Union will propose a settlement for investors

Time management concept. Composition with documents, stationary and alarm clock on table

Letter: Time to act on structural reform

Ian Russell responds to comments on his opinion piece on SRO consolidation