Company: Investment Industry Regulatory Organization of Canada

1162 results found
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Interim rules coming in May, with new CEO, board to be named in Q2

Financial accounting business sheet calculator

Panel handed down tougher sanctions than SRO sought

rules and regulations

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

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Increasingly cybersecurity seen as a strategic, systemic concern: Moody's

client meeting

ESMA proposes making sustainability part of suitability

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The CSA is seeking six industry directors and eight independent directors for the board

advisor-client meeting

Changes include clearer requirements for dealers to conduct investigations

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:08
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

Clients lost over $1 million on risky options strategy in market crash

gavel

The ex-representative embezzled funds from elderly clients

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

The firm agreed to a $157,500 fine and will repay 6,000 affected clients