Keyword: IIROC

473 results found

IIROC staff argued the non-compliance was "a wilful business decision"

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

Applications are now due in April

  • By: Staff
  • March 20, 2020 March 20, 2020
  • 11:11
Businessman Working Finance Trading Stock Concept

The MX’s regulatory division and IIROC have acknowledged that flexibility may be necessary

The SROs are urging firms to think about business continuity plans

Business People Sitting in an Office Building Having a Meeting

The SRO is setting up an expert panel that will advise on investor issues

multiracial business meeting in boardroom, sitting at a table

The announcement comes in advance of the CSA’s review of self-regulation


Kenmar Associates hopes the review won’t just rubber-stamp a merger of the MFDA and IIROC

Corporate executive in a modern architectural setting looking confidently out of high rise windows

IIROC is calling on dealers to nominate candidates

Man writing on a blackboard

Beginning in June, the SRO will accept the Level I CFA exam as an alternative to the CSC

Indecisive and lost man chooses the right path

A discussion paper calls the current system outdated, complex and product-based