The IIAC supports one of the major planks of IIROC's potentially game-changing proposal for mutual fund advisors.
IIROC is republishing for comment its proposed Plain Language Rule Book.
CSA has released its evaluation of IIROC's effectiveness.
In December, IIROC published proposals that would “consolidate the best execution requirements in Universal Market Integrity Rules and Dealer Member Rulebook requirements for fair pricing of over-the-counter securities into a single dealer member rule respecting best execution.”
IIROC has published its annual Compliance Priorities Report outlining its key compliance and registration priorities for 2016.
IIROC has a dismal record of collecting fines levied against individuals, but that could soon change.
On December 30, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Gary Clarke.
On December 18, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Xavier Cheng Kuo Li.
An IIROC hearing has been scheduled in the matter of Denyse Giroux-Garneau.
IIROC has suspended Jacob Securities Inc.