IIROC

IIROC fines two brokers over “stable” investments Fallback Image Decorative pattern

Industry

IIROC fines two brokers over “stable” investments

On December 9, 2011, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted the settlement agreements entered into between IIROC staff and Robert Werner Schiesser and Jeffrey Roderick McCrimmon. In the settlement agreement, Schiesser admitted to the following violations: Between July 2007 and March 2009, while a registered representative at Canaccord […]

By Staff |January 9, 2012

1 min read

IIROC publishes “plain language” revisions Fallback Image Decorative pattern

Industry

IIROC publishes “plain language” revisions

Do you ever find yourself nodding off or scrambling for a dictionary while wading through regulatory rules? Good news: IIROC has released for comment its plan to rewrite its rules in plain language.

By Staff |January 6, 2012

2 min read

IIROC studies impact of electronic trading Fallback Image Decorative pattern

Industry

IIROC studies impact of electronic trading

IIROC has published the first two phases of a comprehensive report on high-frequency trading in Canadian equity markets.

By Staff |January 4, 2012

2 min read

IIROC guidelines meet Web 2.0 Fallback Image Decorative pattern

Industry

IIROC guidelines meet Web 2.0

Canadian brokers have received an early gift this year: clarity in the regulations covering their use of social media. IIROC has issues a modernized set of guidelines for registrants’ communications and advertising.

By Staff |December 8, 2011

2 min read