IIROC – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Tue, 26 Sep 2023 18:14:27 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png IIROC – Advisor's Edge https://phoenix.advisor.ca 32 32 With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://phoenix.advisor.ca/news/industry-news/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:27 +0000 https://www.advisor.ca/?p=231157 Fees for investment dealers to rise 6.4%, annual report says

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]]> Court upholds OSC decision denying rep’s appeal https://phoenix.advisor.ca/news/industry-news/court-upholds-osc-decision-denying-reps-appeal/ Tue, 11 Apr 2023 18:01:14 +0000 https://www.advisor.ca/?p=224115 An Ontario court rejected an appeal over IIROC sanctions

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]]> SRO asks dealers to upvote its new name and look https://phoenix.advisor.ca/news/industry-news/sro-asks-dealers-to-upvote-its-new-name-and-look/ Mon, 03 Apr 2023 19:06:40 +0000 https://www.advisor.ca/?p=223862 New branding would replace existing logos by the end of 2024

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]]> New SRO highlights proprietary product conflicts https://phoenix.advisor.ca/news/industry-news/new-sro-highlights-proprietary-product-conflicts/ Mon, 20 Mar 2023 16:00:10 +0000 https://www.advisor.ca/?p=223122 A review identified gaps in addressing conflicts associated with proprietary products

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]]> Ex-rep faces $2.5-million fine, ban for misappropriation https://phoenix.advisor.ca/news/industry-news/ex-rep-faces-2-5-million-fine-ban-for-misappropriation/ Tue, 28 Feb 2023 22:12:16 +0000 https://www.advisor.ca/?p=222366 SRO panel delayed its decision pending proof of repayment that never came

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]]> New SRO proposes payback for harmed investors https://phoenix.advisor.ca/news/industry-news/new-sro-proposes-payback-for-harmed-investors/ Wed, 01 Feb 2023 21:16:09 +0000 https://www.advisor.ca/?p=221450 The proposal would allow for disgorged funds to be paid out to victims of industry misconduct

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]]> Former MFDA IPC head Dorothy Sanford to chair new investor group https://phoenix.advisor.ca/news/industry-news/former-mfda-ipc-head-dorothy-sanford-to-chair-new-investor-group/ Tue, 17 Jan 2023 21:43:46 +0000 https://www.advisor.ca/?p=220840 York University's Moshe Milevsky is the new IAP's vice-chair

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]]> IIROC enforcement ended on a high as disciplinary activity rose in 2022 https://phoenix.advisor.ca/news/industry-news/iiroc-enforcement-ended-on-a-high-as-disciplinary-activity-rose-in-2022/ Wed, 04 Jan 2023 21:49:24 +0000 https://www.advisor.ca/?p=220404 Fines levied against reps last year soared to $7.9 million from $938,000 in 2021

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]]> New SRO launches with IIROC-heavy executive team https://phoenix.advisor.ca/news/industry-news/new-sro-launches-with-iiroc-heavy-executive-team/ Tue, 03 Jan 2023 18:06:45 +0000 https://www.advisor.ca/?p=220356 The new agency has a website but its name will come later

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]]> IIROC sanctions futures firm for supervisory failures https://phoenix.advisor.ca/news/industry-news/iiroc-sanctions-futures-firm-for-supervisory-failures/ Thu, 08 Dec 2022 18:33:02 +0000 https://www.advisor.ca/?p=217791 Firm agreed to $100,000 sanction, admitted oversight violations

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