La Presse has learned that the IIROC may be the subject of a class-action suit instituted by Montreal law firm De Grandpré Chait.
A firm is voluntarily winding-up of its operations and IIROC membership.
The CSA is reviewing IIROC's policies following the recent data loss.
On April 18, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Jory Capital.
Following a disciplinary hearing held on March 18, 2013, in Saskatoon, Sask., a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC), found that James Dale Lambert was liable of failing to use due diligence to learn the essential facts relative to investments in a financial product he recommended to clients, and failing […]
Following a penalty hearing held on November 27, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC), imposed fines on Marco Myatovic and Doreen Lowe. The panel found that the two had failed in their roles as gatekeepers by facilitating manipulative or suspicious trading activity in several client accounts, thereby engaging […]
An IIROC hearing panel accepted a settlement agreement with Daniel Edward Smith.
IIROC issued proposed guidance on the management of stop-loss orders.
The Investment Industry Regulatory Organization of Canada (IIROC) deeply regrets the accidental loss of a portable device that contained personal information relating to clients of a number of investment firms. IIROC has taken several measures to notify the firms and their clients and to provide them with support services.
IIROC has released its first comprehensive Enforcement Report.