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IIROC urges investment dealers to start prepping for rule changes now

Macro shot of a hand of a businessman signing or writing a document on a sheet of white paper using a nibbed fountain pen.

Two former executives face a hearing next year

Business people working in a conference room

Applications are due Dec. 31

court gavel regulatory

IIROC has set date for disciplinary hearing

File

Protecting material non-public information is paramount when staff work remotely

loudspeaker

Proposals modify IIROC's rules to adhere to upcoming regulatory reforms

loudspeaker

SRO to host online event Nov. 27, second session on Dec. 17

gavel

The regulator reduced a rep's fine and suspension following an appeal

Megaphone

The proposed rule changes would include relief from certain re-papering requirements

  • By: Staff
  • October 8, 2020 October 8, 2020
  • 17:16
gavel on a laptop

OSC to consider whether IIROC hearing can go electronic