Company: Investment Industry Regulatory Organization of Canada

1219 results found
announcement

Debra Doucette takes the role as Holly A. Benson steps down

  • By: IE Staff
  • November 24, 2021 November 24, 2021
  • 15:25

Regulators aim to name CEO, board by Q2 next year

The regulator can now collect fines through the courts countrywide

  • By: IE Staff
  • November 17, 2021 November 17, 2021
  • 16:55

The SRO is supporting Osgoode's investor service for two years

Rep sought to repay money with risky options trading

IIROC panel found rep secretly compensated clients, misled investigators

The client lost $1.3 million to risky trading that generated $232,000 in commissions

The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

Jensen joined OBSI's board and is tapped to be the next chair

The SRO withdrew the allegation after settling with the firm's former head