The Investment Industry Regulatory Organization of Canada (IIROC) has announced the makeup of its advisory committee on the trading rules. IIROC Tuesday announced the membership of its Market Rules Advisory Committee (MRAC), which provides advice to the self-regulatory organization’s staff, and its president, regarding proposed amendments to the trading rules, draft guidance on the interpretation […]
Silu Modi, VP, digital marketing, Macquarie Private Wealth, explains how to design a leading-edge social media program that successfully addresses IIROC compliance guidelines. He discusses how to build a social media strategy that creates brand, impact and support for your company. Modi spoke at the 2012 IFIC annual conference in Toronto.
Allegations against Phillips and Wilson mount
Rep admitted to excessive trading in an elderly client’s account
Proposed changes would mesh with U.S. reforms
Test scenario involves the inaccessibility of data centers where business transactions are processed
IIROC will be issuing new guidance in October addressing outsourcing arrangements
OSC, IIROC aiming to keep fee increases under control
The elimination of embedded compensation in Britain and elsewhere has yet to become an issue in Canada
A study suggests portfolio-based margining would achieve a better match between funding, collateral and risks