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Keyword: Self-regulatory organizations

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Stacked white books on rules and regulations

IIROC provided numerous exemptions from its own rules in 2017

Regulator reports that it received 324 proficiency exemption applications last year

business people standing in line under a magnifying glass

IIROC receives passing grade from regulators

An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed

Judge gavel, scales of justice and law books in court

B.C. moves to strengthen SRO enforcement

Amendments will allow IIROC and the MFDA to enforce penalties as court orders

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

IIROC takes aim at minor infractions

The SRO is looking to deal with certain cases more quickly

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

IIROC proposes two new enforcement programs

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

SROs focus on key issues

Are firms shifting clients into lower-cost funds as appropriate?

FINRA launches small firm helpline

The helpline aims to provide immediate answers on basic compliance questions

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

IIROC seeks input on changes to plain language rulebook

BMO GAM’s Ross Kappele elected IFIC chairman

Dealers approve directors at 2017 MFDA AGM

Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients

  • December 1, 2017 February 15, 2019
  • 12:20

A magnet for misuse

IIROC proposal raises concerns