IIROC’s plans have been criticized by industry and investors advocates
New requirements would result in additional compliance costs
Publishing the data recognizes IIROC’s ability to leverage data already collected by it for regulatory purposes
IIROC’s role as information processor expanded
Advisor did not comply with the dealer’s own guidelines for leveraged ETFs
Regulator reports that it received 324 proficiency exemption applications last year
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having an impact
An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed
The two clients are affiliates of the investment dealer
Fraudsters are misrepresenting themselves as IIROC-regulated investment dealers