IIROC

IIROC enforcement ended on a high as disciplinary activity rose in 2022 IIROC enforcement ended on a high as disciplinary activity rose in 2022

Industry

IIROC enforcement ended on a high as disciplinary activity rose in 2022

Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

By James Langton |January 4, 2023

2 min read

New SRO launches with IIROC-heavy executive team Fallback Image Decorative pattern

Industry

New SRO launches with IIROC-heavy executive team

The new agency has a website but its name will come later

By James Langton |January 3, 2023

2 min read

IIROC sanctions futures firm for supervisory failures Fallback Image Decorative pattern

Industry

IIROC sanctions futures firm for supervisory failures

Firm agreed to $100,000 sanction, admitted oversight violations

By James Langton |December 8, 2022

1 min read

New SRO gets formal approval from CSA New SRO gets formal approval from CSA

Industry

New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

By James Langton |November 24, 2022

2 min read