An investment advisor has been suspended for two years after IIROC staff appealed the decision to the OSC
IIROC has also proposed amendments to trading rules to conform to the CSA’s policy approach
Numerous rule violations net $75,000 fine
Pair sanctioned for KYC and supervisory failings
IIROC sanctions professional trading firm for inadequate controls
Roundtable to discuss alternatives to address the impact of routing of retail orders to U.S. broker-dealers
IIROC outlines the process for making requests
Review of all applications will be performed by IIROC staff in Toronto
More time needed to consider proposed amendments regarding personal financial dealings with clients
Regulator to review brokerage practices for addressing conflicts of interest