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Keyword: Self-regulatory organizations

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Candidates must be officers or employees of a dealer

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

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

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Two former regulators join board of directors

Business People Meeting Discussion in a boardroom concept

Members will gather to elect directors

  • August 30, 2018 February 15, 2019
  • 15:45
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The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan

Board members bring valuable perspectives, CEO says

Downtown office buildings Toronto

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

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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

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