The self-regulatory organization releases its annual report for 2015-2016
The move to reduce the settlement cycle would coincide with the same standard the U.S. market is adopting in September 2017
IIROC panel says former advisor made bad recommendations and engaged in unauthorized discretionary trading
Electronic delivery is the most efficient method of delivering documents, IIROC says
Regulator takes over from CanPX as information processor
Advisor received almost $16,000 from trades executed after client’s death
Circuit breakers are based on the extent of leverage used in the fund
The self-regulatory organization has signed a memorandum of understanding with the Insurance Council of British Columbia
The new policy aims to increase investor awareness about standards firms must meet and investor protections that are in place
Nominations for the SRO’s market rules advisory committee are due July 29