Canadian brokers have received an early gift this year: clarity in the regulations covering their use of social media. IIROC has issues a modernized set of guidelines for registrants’ communications and advertising.
Fast-growing product offering is changing the licensing debate.
Emotions and advisory business are strange bedfellows and should sleep in separate rooms. A new study from PriceMetrix found that financial advisors who cut their fees during market downturns, a practice dubbed 'sympathy pricing,' are hurting their businesses over the long run.
Gerry Rocchi, formerly vice-chair of the IIROC board of directors, has been appointed chair at IIROC's general meeting held yesterday. Michelle Khalili, Managing Director, Equity Capital Markets, CIBC World Markets, has been named vice-chair.
There are some who argue that regulation is ineffective, and that market forces can cure all ills. When it comes to compensation disclosure, the market may be about to get out in front.
The Investment Industry Regulatory Organization of Canada is taking steps to address fair pricing in the fixed income market, as well as in other securities traded over the counter.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Jeremie Steven Clarke.
IIROC is helping investors understand equity trading better.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) will meet to consider the appropriate penalty for Melaney Phillips.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has found that Brian Vaughn Wilson made unsuitable recommendations for a client, a resident of Nova Scotia. The panel also found that Wilson engaged in unauthorized trading in that client’s account. At the disciplinary hearing held on July 26, 2011, the panel heard […]