Company: Investment Industry Association of Canada

357 results found
rules and regulations

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

41791403 - red carpet event with spotlights award ceremonypremiere

Gordon Nixon and C. Warren Goldring are on this year’s list

  • By: IE Staff
  • June 29, 2021 July 5, 2021
  • 10:59

RBC compliance chief to head the industry trade group's board

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

Extensive oversight is needed for integrated EMD and IC/PM business models

Parliament buildings on a sunny day

Without a detailed fiscal plan, program spending and budget deficits may exceed the current projections

confused man

A clear delineation of responsibilities would allow for an effective relationship

The securities lawyer will take over from Ian Russell in August

  • By: IE Staff
  • April 12, 2021 April 12, 2021
  • 10:34

Now that the project has been shelved, Ottawa and the provinces can focus on improving securities regulation, experts say

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection

man on dollar

IIAC report shows revenues held up in 2020, employment climbed