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Keyword: IIROC

439 results found
Businessman drawing business statistics on glass wall

Organization says precise timing of trades helps create a clear audit trail

  • By: Staff
  • September 11, 2019 September 11, 2019
  • 11:19
Close up of human hands using virtual panel

The new guidance applies to basic trading accounts at order-execution-only firms

  • By: Staff
  • August 28, 2019 August 28, 2019
  • 11:46
Person marking the date of the 15th with a pencil on a blank calendar with date squares as a reminder of an important day or to schedule a meeting or event

The meeting will be held in Montreal

  • By: Staff
  • August 26, 2019 August 26, 2019
  • 16:36
stack of documents or files, overload of paperwork on black background

The "plain language" version will replace existing rules on June 1, 2020

Wooden gavel used by a judge or auctioneer

IIROC staff sought the firm's suspension after it fell into capital deficiency in August

  • By: Staff
  • August 16, 2019 August 16, 2019
  • 14:25
Concept of important choices of a businessman, Business Challenge

CSA will continue to monitor the industry’s approach to OBSI’s recommendations on investor compensation

  • By: Staff
  • August 15, 2019 August 15, 2019
  • 14:04
gavel on a wooden bench

SRO says insolvency risk poses threat to firm’s clients

  • By: Staff
  • August 12, 2019 August 12, 2019
  • 16:59
Lawyer

In its submission to IIROC, the association also asked for clarity on the rules

  • By: Staff
  • July 29, 2019 July 29, 2019
  • 13:32
Lawyer

The rep must also pay $105K, including fines, disgorgement and costs

  • By: Staff
  • July 25, 2019 July 25, 2019
  • 13:10
court gavel regulatory

OSC reaches same conclusion as an IIROC panel

  • By: Staff
  • July 10, 2019 July 10, 2019
  • 17:21