Company: Investment Industry Regulatory Organization of Canada

1219 results found

The rule changes come into effect Sept. 6

The SRO announced plans in April to introduce a minor contravention program

  • By: IE Staff
  • July 29, 2019 November 13, 2019
  • 13:33

Fines, disgorgement and costs total $105,000

  • By: IE Staff
  • July 25, 2019 November 13, 2019
  • 13:17

Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26

Applicant argued that an IIROC panel erred in its findings

FAIR Canada is concerned that the offenders would not be publicly identified

IIROC permanently banned the former rep and fined him $450,000 in 2018

IIROC survey shows support for protecting vulnerable clients, while CSA suggests best practices

  • By: IE Staff
  • June 21, 2019 October 31, 2019
  • 12:58

They take effect in September

Committee applications due July 5