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Company: Investment Industry Regulatory Organization of Canada

1219 results found

Regulators push firms to harden cyber defences

Increasingly cybersecurity seen as a strategic, systemic concern: Moody's

client meeting

European regulators integrate ESG into KYC

ESMA proposes making sustainability part of suitability

Now hiring: CEO, board for new SRO

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

advisor-client meeting

IIROC proposes rule amendments to better protect investors

Changes include clearer requirements for dealers to conduct investigations

  • By: IE Staff
  • January 13, 2022 January 13, 2022
  • 14:08
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IIROC panel sanctions rep for KYC violations

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

IIROC bans, fines former advisor $1 million

The ex-representative embezzled funds from elderly clients

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Canaccord settles IIROC client overcharging case

The firm agreed to a $157,500 fine and will repay 6,000 affected clients

Scotia Capital settles fee fumble case

SRO fine pales against firm's $32-million remediation plan

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

Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found