Home Investment Industry Regulatory Organization of Canada

Company: Investment Industry Regulatory Organization of Canada

858 results found
Team project work Analyze reports plans, papers, documents, statistics calculations

IIROC proposes changes to debt transaction reporting requirements

The proposals would reduce the reporting deadlines and increase the amount of data that are collected

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

IIROC takes aim at minor infractions

The SRO is looking to deal with certain cases more quickly

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

IIROC proposes two new enforcement programs

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

IIROC seeks info on supervisors

The request follows recent changes to the self-regulatory organization’s continuing education rules

  • February 5, 2018 February 5, 2018
  • 12:10

IIROC calls for nominations to fixed income advisory committee

The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading

Contnuing education concept: pixelated words continuing education on digital background, 3d render

IIROC issues guidance on CE program

The goal is to create, maintain and promote high proficiency standards

closeup of sheet of paper filled with calculations with pencil

IIROC proposes tighter CE rules

Former reps that return to the industry would no longer be able to use the CSC and CPH to satisfy their CE requirements

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

IIROC seeks input on changes to plain language rulebook

Gavel and legal books

IIROC bans former Calgary broker

Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says

FSCO reports decrease in insurance advisors’ compliance rates

IIROC releases 2018 compliance priorities report

Emphasis is on CRM2, cybersecurity and conflicts of interest