The Canadian Securities Administrators (CSA) is asking for comment on proposed amendments to its trading rules (NI 23-101).
IIROC hands down fine over unsuitable recommendations.
IIROC has released its second annual Enforcement Report, which demonstrates its continued focus on key strategic priorities, including misconduct relating to seniors and suitability. Read: Privacy rules to get tougher Consistent with previous years, cases involving seniors represented more than one-third of all IIROC’s disciplinary cases. Unsuitable investments were the most common complaints investigated in […]
IIIROC President and CEO Susan Wolburgh Jenah says she’ll retire October 31.
IIROC's published final guidance regarding business titles.
Wrongdoers may no longer have to admit guilt when settling with OSC.
IIROC has published for comment a concept paper to consider the possibility of establishing lower minimum capital requirements for dealer members with reduced risk profiles.
IIROC has published for comment proposed guidance outlining common due diligence practices and suggestions for IIROC dealers involved in the offering of securities to the public as underwriters.
IIAC has formed a CRM2 working group
A new private member bill tabled by Sudbury, Ont. MPP Rick Bartolucci is already garnering industry attention.