IIROC finds this branch manager failed to properly supervise suspicious transactions by registered representatives who were under his supervision.
IIROC finds broker effected trades for her own account and directly from insiders in publicly traded companies, and without the knowledge of her employer.
The world's most popular social network has filed for an IPO of $5 billion, launching the process for its highly anticipated stock market debut.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Henry Cole.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement between IIROC staff and Catherine Deborah Jones. In the settlement agreement, Jones admitted that she guaranteed a client account and that she placed discretionary trades.
An IIROC hearing panel found that Kenneth Gareau recorded inaccurate "know your client" information on client account forms, made unsuitable recommendations and made a transaction against the expressed wishes of a client.
Investment dealer Raymond James Ltd. today announced its Canadian Equity Analysts' Best Picks list for 2012.
On December 9, 2011, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted the settlement agreements entered into between IIROC staff and Robert Werner Schiesser and Jeffrey Roderick McCrimmon. In the settlement agreement, Schiesser admitted to the following violations: Between July 2007 and March 2009, while a registered representative at Canaccord […]
Do you ever find yourself nodding off or scrambling for a dictionary while wading through regulatory rules? Good news: IIROC has released for comment its plan to rewrite its rules in plain language.
IIROC has published the first two phases of a comprehensive report on high-frequency trading in Canadian equity markets.