IIROC is looking for comment on its revised consolidated disciplinary sanction guidelines, which set out general principles and key factors to be considered by hearing panels.
IIROC has launched a glossary of the financial certifications used by advisors.
Oversight of OES accounts to tighten.
The Investment Industry Regulatory Organization of Canada (IIROC) has announced that additional settlement funds have been disbursed to eligible investors who purchased third-party Asset-Backed Commercial Paper (ABCP) from Deutsche Bank Securities Ltd. (DBSL).
IIROC wants to boost the efficiency of the disclosure process for trade confirmations.
IIROC releases trading rule amendments.
IIROC has released its 2012-2013 annual report.
IIROC has published a new policy priorities report.
A hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Steven Frank Carinci.
On July 30, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and First Financial Securities.