IIROC

Decorative pattern

IIROC to suspend capital-deficient firm

SRO says insolvency risk poses threat to firm’s clients

By Staff |August 12, 2019

1 min read

Decorative pattern

IIAC calls for lower fines in minor contravention program

In its submission to IIROC, the association also asked for clarity on the rules

By Staff |July 29, 2019

1 min read

Decorative pattern

IIROC suspends advisor for trading violations and suitability failures

The rep must also pay $105K, including fines, disgorgement and costs

By Staff |July 25, 2019

3 min read

Decorative pattern

Former rep denied bid to appeal disciplinary ruling

OSC reaches same conclusion as an IIROC panel

By Staff |July 10, 2019

2 min read

Decorative pattern

Investor advocates criticize IIROC’s proposed enforcement tools

Among other concerns, FAIR Canada notes the offenders would not be publicly identified

By James Langton |July 5, 2019

2 min read

Decorative pattern

Alberta court denies class action against former rep

Defendant was permanently banned by IIROC in 2018

By James Langton |June 26, 2019

2 min read

Regulators focus on older, vulnerable clients

Regulators focus on older, vulnerable clients

IIROC publishes a survey, and CSA provides suggested practices

By Staff |June 21, 2019

3 min read

Decorative pattern

New IIROC rules to boost trading oversight

New rules take effect Sept. 6

By Staff |June 6, 2019

1 min read

Decorative pattern

IIROC’s strategic plan includes protecting seniors

The SRO will continue to develop a safe-harbour rule

By Staff |June 5, 2019

3 min read

Decorative pattern

IIROC, FINTRAC to share info on dealers

The agreement aims to combat money laundering and terrorist financing

By Staff |May 30, 2019

1 min read

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