IIROC has proposed rule amendments and guidance that seek to update and streamline existing best execution requirements for IIROC-regulated firms.
IIROC has announced completion of its study of High Frequency Trading (HFT) and its impact on Canadian equity markets.
MFDA’s proposed ETF proficiency rules, if accepted, mean advisors will have to study up before selling the funds
IIROC, the OSC and the MFDA have released the results of their joint mystery-shopping initiative, and advisors didn’t disappoint.
IIROC's floating a proposal that would allow firms and individuals to limit their business to mutual funds and ETFs.
On November 3rd, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Robert Connor.
In its 2014 report, IIROC identified many cases where firms and advisors hadn’t fulfilled their obligations as efficient market gatekeepers. So, firms need to more closely monitor the trading activities of both advisors and their clients, especially if clients have been granted direct access to markets (see “Learn the lingo”). The rules Firms must have […]
IIROC has republished for comment proposed amendments to the requirements for IIROC Dealer Members to disclose that they are regulated by IIROC.
IIROC has announced it has received approval from the Canadian Securities Administrators (CSA) of a new cost-recovery fee model for debt market oversight.
Protecting harmed investors involves more than covering financial losses.