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Company: Investment Industry Association of Canada

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Downtown office buildings Toronto

The industry's top-line growth has continued steadily since 2014

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Engaging with regulators is an important part of ensuring new rules are implemented effectively

  • By: Ian Russell
  • December 18, 2019 December 18, 2019
  • 16:13

Talk of merging the SROs has surfaced repeatedly over the years

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Currently, the OSC is the only provincial regulator that can't issue blanket orders

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In 2020, regulators will grapple with harmonization, tech and climate change, predicted speakers at the Toronto Refinitiv Summit

business man thinking

The association says an IIROC proposal should apply only to employees directly involved in client dealings

handshaking and exchanging contract documents

The relationship with IIROC may change how firms approach OBSI inquiries, a letter says

Conflict could exist, as course provider and accreditation body are owned by the same company

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Speakers at a Vantage Series event discussed the challenge of providing personalized advice at scale

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Award celebrates talented young professionals in the investment industry

  • By: IE Staff
  • October 24, 2019 October 25, 2019
  • 19:55