IIROC

IIROC proposes guidance on stop-loss order handling Fallback Image Decorative pattern

Industry

IIROC proposes guidance on stop-loss order handling

IIROC issued proposed guidance on the management of stop-loss orders.

By Staff |April 15, 2013

1 min read

IIROC loses client information Fallback Image Decorative pattern

Industry

IIROC loses client information

The Investment Industry Regulatory Organization of Canada (IIROC) deeply regrets the accidental loss of a portable device that contained personal information relating to clients of a number of investment firms. IIROC has taken several measures to notify the firms and their clients and to provide them with support services.

By Staff |April 12, 2013

2 min read

IIROC’s debut enforcement report released Fallback Image Decorative pattern

Industry

IIROC’s debut enforcement report released

IIROC has released its first comprehensive Enforcement Report.

March 27, 2013

2 min read

Reps fined, disgorged for outside activities Fallback Image Decorative pattern

Industry

Reps fined, disgorged for outside activities

An IIROC hearing panel accepted an agreement between its staff, and 2 Quebec-based reps.

By Staff |March 26, 2013

1 min read