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Company: Investment Industry Regulatory Organization of Canada

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Ex-rep sanctioned for falsifying client signatures

IIROC to continue CFR review with focus on KYC and suitability article image rules and regulations

IIROC to continue CFR review with focus on KYC and suitability

Regulators push firms to harden cyber defences

European regulators integrate ESG into KYC article image client meeting

European regulators integrate ESG into KYC

Now hiring: CEO, board for new SRO

IIROC proposes rule amendments to better protect investors article image advisor-client meeting

IIROC proposes rule amendments to better protect investors

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:08
IIROC panel sanctions rep for KYC violations article image 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

IIROC panel sanctions rep for KYC violations

IIROC bans, fines former advisor $1 million

Canaccord settles IIROC client overcharging case article image 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

Canaccord settles IIROC client overcharging case

Scotia Capital settles fee fumble case