IIROC questions licensing model.
The Investment Industry Regulatory Organization of Canada (IIROC) today published Final Guidance that expands the single-stock circuit breaker (SSCB) program.
On June 17, 2014, an IIRIC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and David Hayes.
On June 10, 2014, an IIROC hearing panel accepted a Settlement Agreement, with sanctions, between IIROC staff and RBC Dominion Securities.
IIROC says advisors are lax on suitability, KYP
Canada’s system for resolving disputes between advisors and clients is badly broken.
IIROC has announced the publication of an industry-developed Code of Conduct for banks on the submission panel of the Canadian Dollar Offered Rate (CDOR) interest rate benchmark.
The Canadian Securities Administrators has approved rule changes IIROC made in order to implement CRM II.
An IIROC hearing panel recently accepted a settlement agreement, with sanctions, between IIROC staff and Earl Jessiman.
IIROC has announced the selection of a third project team to assess the impact of high-frequency trading (HFT) and related activity on Canadian equity markets.