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Keyword: Self-regulatory organizations

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IIROC calls for candidates to sit on district councils

Candidates must be officers or employees of a dealer

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MFDA warns dealers about KYC failings

Compliance exams uncover an inappropriate one-size-fits-all approach

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Ontario court rules against hedge fund

The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International

closeup of on table in empty corporate conference room

MFDA approves directors at AGM

Two former regulators join board of directors

Business People Meeting Discussion in a boardroom concept

IIROC sets date for annual meeting

Members will gather to elect directors

  • August 30, 2018 February 15, 2019
  • 15:45
Businessman making presentation with his colleagues and business strategy digital layer effect at the office as concept

IIROC fees rising as demands on regulators grow

The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan

FINRA announces governor elections

Board members bring valuable perspectives, CEO says

Downtown office buildings Toronto

All Group’s IIROC membership terminated

The firm, which has been suspended since January 2017, held no client assets and was deemed “effectively insolvent”

law regulations paper flat illustration

IIROC proposes changes to discount brokerage requirements

The self-regulatory organization aims to improve its surveillance capability

  • By: IE Staff
  • July 27, 2018 February 15, 2019
  • 12:45
MFDA 2018-2022 Strategic Plan

MFDA strategic plan focuses on three key priorities

The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors

  • By: IE Staff
  • June 19, 2018 February 15, 2019
  • 16:45