On October 13, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Assante Capital Management Ltd.
The Canadian Securities Institute’s (CSI) monopoly on proficiency services for IIROC licensure has come to an end.
The majority of Canadians are not financially literate enough to invest in capital markets.
Following a penalty hearing held on July 9, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following penalties on Bryan Andrew Vickers.
Following an expedited hearing held, with notice to Edgecrest Capital Corporation, an IIROC hearing panel suspended the membership of Edgecrest.
On October 19th, IIROC will host a public forum on high-frequency trading.
The Venture Capital Markets Association wants to get rid of IIROC and usher in major change at the British Colombia Securities Commission.
IIROC made some changes to its board of directors at its annual general meeting yesterday.
On August 24, 2015, an IIROC hearing panel accepted a settlement agreement between IIROC staff, and Brian Douglas Bergen and Leede Financial Markets.
IIROC wants clearer authority to collect fines across the country.