IIROC

Industry

Former advisor to pay more than $55K for personal dealings with a client

He was also suspended for two years

By Staff |November 6, 2018

2 min read

Industry

Territories give IIROC greater enforcement power

Seven provinces have also given IIROC greater enforcement authority

By Staff |November 2, 2018

1 min read

Industry

Nova Scotia gives IIROC greater enforcement power

Regulator has same powers as in Alberta and Quebec

By Staff |October 12, 2018

1 min read

Industry

IIROC fines advisor $60K for accepting entertainment tickets

Concert and racing tickets were requested and received from fund companies

By Staff |October 9, 2018

2 min read

Industry

IIROC fines advisor $70K for due diligence failures, mishandling of client information

During a firm transfer, predetermined client profiles were used on client account forms

By Staff |October 9, 2018

2 min read

Industry

What happens if DSCs aren’t banned? SROs respond

Find out what the regulators said at IFIC's annual conference

September 28, 2018

4 min read

Industry

IIROC elects board of directors

New chair and vice-chair also appointed

By Staff |September 26, 2018

1 min read

Industry

Proposed class action lawsuit on trailing commissions filed against CIBC

Lawsuit cites lack of advice provided by discount brokers

By Staff, with files from The Canadian Press |September 19, 2018

2 min read

Industry

IIROC reports policy, enforcement progress

IIROC will continue to work with CSA on proposed targeted reforms to harmonize rules on embedded commissions and other dealer regulations, the SRO’s annual report says. IIROC released its annual report for 2017-18, highlighting the SRO’s progress in the second year of its three-year strategic plan. The plan’s goal is to better protect investors and […]

By Staff |August 29, 2018

3 min read

Industry

Alberta man charged with fraud and theft from investors

An Alberta man was criminally charged with fraud and theft related to an alleged investment fraud, the Alberta Securities Commission and Alberta RCMP said Monday. Shaun Wayne Howell, from Drayton Valley, Alta., was charged with three counts of fraud and three counts of theft over $5,000, the ASC said in a release. The regulator and […]

By Staff |August 28, 2018

1 min read

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