IIROC revises guidance on non-arm’s length investments based on industry comments.
An IIROC hearing panel granted the orders sought by IIROC staff against Glenn Allan Prior.
An IIROC panel accepted a settlement agreement between IIROC staff and optionsXpress Canada Corp.
IIROC has issued a guidance notice for comment regarding the proper use of business titles and financial designations.
An IIROC hearing panel accepted a settlement agreement between IIROC staff and John Lloyd Hanna.
The Investment Industry Regulatory Organization of Canada has adopted rule amendments, approved by the Canadian Securities Administrators (CSA), designed to ensure the effective management of risks associated with electronic trading.
IIROC will focus on building a culture of compliance in the industry in 2013.
On November 22, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Raymond James Ltd. Raymond James admitted it failed to ensure adequate supervision of the option trading in 23 client accounts of one registered representative. Specifically, Raymond James admitted to the following […]
On November 9, 2012, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Richard Allan MacDonald.
Following a disciplinary hearing held on September 12, 2012, Benoît Beaulne was fined $30,000 and suspended for unsuitable sales.