MFDA advisors might soon find themselves subject to higher proficiency standards.
Following a disciplinary hearing held on August 26, 2014, in Toronto, Ontario, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has barred and fined Mark Fridgant.
IIROC's published a new debt transaction reporting rule that will take effect in November 2015.
IIROC has released a FAQ on CRM.
IIROC is republishing for further public comment revised proposed amendments to Dealer Member Rule 200 and Form 1 (collectively the IIROC 2015 and 2016 CRM2 Amendments) to address remaining regulatory objectives identified under the Client Relationship Model project.
IIROC has republished for further public comment the amendments in its Client Relationship Model (CRM) initiative, scheduled to take effect over the next two years.
Since March 2013, IIROC’s issued about $5.3 million in fines.
IIROC's appointed Andrew J. Kriegler its new president and CEO, effective November 1, 2014.
An IIROC hearing panel accepted a agreement, with sanctions, between IIROC staff and Afam Elue.
Following a disciplinary hearing in Edmonton, Alberta, an IIROC hearing panel imposed penalties on a former rep and branch manager.