IIROC

Decorative pattern

IIROC fines CIBC World Markets $150K for trading supervision failures

The investment dealer failed to identify and review suspicious trader activity

By Staff |April 7, 2022

2 min read

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SRO merger on track for 2022

Interim rules coming in May, with new CEO, board to be named in Q2

By James Langton |April 5, 2022

2 min read

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Ex-rep sanctioned for falsifying client signatures

Panel handed down tougher sanctions than SRO sought

By James Langton |March 16, 2022

2 min read

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IIROC to continue CFR review with focus on KYC and suitability

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

By Michelle Schriver |March 10, 2022

2 min read

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Now hiring: CEO, board for new SRO

The CSA is seeking six industry directors and eight independent directors for the board

By James Langton |January 21, 2022

1 min read

IIROC proposes rule amendments to better protect investors

IIROC proposes rule amendments to better protect investors

Changes include clearer requirements for dealers to conduct investigations

By Staff |January 13, 2022

1 min read

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IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash

By James Langton |January 10, 2022

2 min read

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IIROC bans, fines former advisor $1 million

The ex-representative embezzled funds from elderly clients

By James Langton |January 6, 2022

2 min read

As CFRs loom, IIROC offers guidance

As CFRs loom, IIROC offers guidance

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

By James Langton |December 17, 2021

2 min read

Decorative pattern

IIROC elects new board director

Debra Doucette takes the role as Holly A. Benson steps down

By Staff |November 24, 2021

1 min read

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