IIROC

RBC DS admits order-marking failures Fallback Image Decorative pattern

Industry

RBC DS admits order-marking failures

Software updates caused various issues, undermining market oversight

By James Langton |July 26, 2022

1 min read

Former rep who claimed clients’ funds were loans penalized more than $700K Former rep who claimed clients’ funds were loans penalized more than $700K

Industry

Former rep who claimed clients’ funds were loans penalized more than $700K

An IIROC hearing panel also permanently banned the former Toronto-area rep

By Staff |July 22, 2022

2 min read

IIROC solicits advisory committee nominations IIROC solicits advisory committee nominations

Industry

IIROC solicits advisory committee nominations

SRO committees focus on market regulation, fixed-income trading issues

By Staff |July 12, 2022

1 min read

IIROC’s Kriegler to lead new SRO IIROC’s Kriegler to lead new SRO

Industry

IIROC’s Kriegler to lead new SRO

Regulators are also forming a new advisory committee to review SRO consolidation

By Staff |June 27, 2022

2 min read