IIROC

Groups call for KYC to go beyond minimum standards Fallback Image Decorative pattern

Industry

Groups call for KYC to go beyond minimum standards

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

By James Langton |August 23, 2021

3 min read

IIROC clarifies reporting of material changes to biz activities Fallback Image Decorative pattern

Industry

IIROC clarifies reporting of material changes to biz activities

Dealers must notify the regulator of new products and services

By James Langton |August 18, 2021

2 min read

CSA to create new single self-regulatory organization Fallback Image Decorative pattern

Industry

CSA to create new single self-regulatory organization

Consolidated rules and enhanced governance will be part of the changes

By Michelle Schriver |August 3, 2021

5 min read

The calm before the enforcement storm? Fallback Image Decorative pattern

Industry

The calm before the enforcement storm?

With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports

By James Langton |July 6, 2021

3 min read