An IIROC hearing panel accepted an agreement between its staff, and 2 Quebec-based reps.
An IIROC hearing panel has accepted a settlement agreement between IIROC Staff and Northern Securities.
The Investment Industry Regulatory Organization of Canada (IIROC) is encouraging investors to use its free online service, AdvisorReport, to do background checks when selecting an advisor as part of Fraud Prevention Month.
The Securities and Exchange Commission (SEC) has proposed new rules for market participants that will require them to put in place comprehensive policies and procedures with regards to their technological systems. According to an SEC release, the proposal, called Regulation SCI, would replace the current voluntary compliance program with enforceable rules designed to better insulate […]
High-frequency trading in the U.S. is getting much heat from the FBI and SEC, who have teamed up against manipulative trading practices powered by ultra-sophisticated algorithmic strategies.
An IIROC panel says Jordan Rocco Steel misappropriated approximately $40,000 from two investment advisors.
IIROC has suspended and fined a rep $50,000 over a mortgage scheme.
On February 6, 2013, an IIROC hearing panel accepted an agreement between IIROC staff and Gabriel Ka Leung Lee.
IIROC has issued for comment a proposed rule, as well as a plan to create a system for enhanced oversight of Canadian debt market activity.
On February 8, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement between IIROC staff and Deutsche Bank Securities Ltd. It says the bank admitted in late July and early August 2007 that it failed to engage compliance with emerging issues in the asset-backed commercial paper market, contrary […]