Reading this in your pyjamas? Your home might be considered a business location.
Make time to review current and updated guidance.
An IIROC hearing panel reached a settlement agreement involving a $45,000 fine for registered rep Matteo Marricco.
IIROC has been granted new legal powers in Prince Edward Island. The Office of the Superintendent of Securities for the province and IIROC have announced that, through an authorization order, IIROC now has authority to collect fines against individuals it has disciplined directly through the Supreme Court of Prince Edward Island. The order says the […]
On December 19, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, entered into between IIROC staff and Louis Constantine Cavalaris.
On December 14, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Union Securities Ltd. (Union).
Managing potential conflicts of interest is an important part of your job, as is meeting the compliance and disclosure requirements related to such conflicts.
On December 5, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Walter Nick Silicz.
On November 16, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Paul Wayne Lynch.
When is a tool not just a tool? When it’s a recommendation. In November, IIROC published proposed guidance for order-execution only (OEO) services, or online discount brokers that take advantage of the OEO suitability exemption. What’s the exemption? When one of these services accepts an order without providing a recommendation to the client, the broker […]