On July 25, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with penalties, between IIROC staff and Jacques Turenne.
Your compliance division isn’t the department of sales prevention. Like you, your peers in compliance also struggle with the high volume of proposals crossing their desks. Each requires the alteration of policies, technologies and workflow.
Each month, IIROC publishes a list of the floating and tracking error margin rates for Canadian and U.S. index products. For July, the regulator highlighted the floating margin rates for a dozen major Canadian products and 11 U.S. products. It offered the current tracking error rates for an equal number (9) of both Canadian and […]
An IIROC hearing panel fined the company $50,000 for failing to comply with trading supervision obligations.
IIROC amended its OBA rules for dealer members.
Struggling with regulatory changes? Here's some help.
Struggling to keep up with regulatory changes? Here's some help.
The board of directors of IIROC are revising previously published proposed plain language rules 2100 through to 2700.
On June 10, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Derek George Laidlaw Axford.
Following a penalty hearing held on April 15, 2013, an IIROC hearing panel imposed several penalties on Charles B. Floyd and James Gordon McDonald.