On August 8, 2008, the IIROC proposed a rule on financial planning that contemplated basic proficiency and supervisory requirements for IIROC reps who hold themselves out as financial planners.
IIROC's guide reinforces advisors' obligation to explain borrowing-to-invest strategies when recommending them to clients.
On December 10, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada reviewed findings against Rajiv Puri.
IIROC updates priorities report.
IIROC issued two final guidance notes, one to clarify the requirements of member-dealer firms who engage in outsourcing arrangements, and another with specific focus on one form of outsourcing--clearing arrangements.
IIROC has reissued for comment its revised Debt Transaction Reporting rule proposal for more timely surveillance and enhanced oversight of Canadian debt market activity.
The Investment Industry Regulatory Organization of Canada (IIROC) today published for comment proposed IIROC rule amendments to increase the transparency of account performance, and account fees and charges.
IIROC published proposed guidance to expand the single-stock circuit breaker program to further mitigate market volatility. It’s looking for industry comment on its proposal.
Canaccord admitted that it failed to adequately supervise retail client account activity.
The Investment Industry Regulatory Organization of Canada (IIROC) today re-issued for comment proposed amendments to consolidate IIROC dealer and market enforcement-related rules.