Throughout 2015, we wrote a series of editorials on issues you’re grappling with.
An IIROC hearing has been scheduled in the matter of Denyse Giroux-Garneau.
Ontario clients trying to pay down debt are now protected from being charged exorbitant fees for debt-settlement help.
The pace at which corporate diversity is improving is too slow
The Investment Industry Regulatory Organization of Canada and the Chambre de la sécurité financière has entered into an agreement that aims to help protect investors in Quebec.
On November 3rd, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Robert Connor.
In its 2014 report, IIROC identified many cases where firms and advisors hadn’t fulfilled their obligations as efficient market gatekeepers. So, firms need to more closely monitor the trading activities of both advisors and their clients, especially if clients have been granted direct access to markets (see “Learn the lingo”). The rules Firms must have […]
Several regulators have published, in final form, Multilateral Instrument 45-108 Crowdfunding.
Protecting harmed investors involves more than covering financial losses.
On October 13, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Assante Capital Management Ltd.