Home IIROC

Keyword: IIROC

496 results found
Gavel

The securities administrators "did not identify concerns" with the SRO

  • By: Staff
  • August 5, 2020 August 5, 2020
  • 11:53
loudspeaker

Nominations for market reg and fixed-income committees due Aug. 21

Checking monthly activities and appointments at the office

A wide range of dealers have sought regulatory relief

Individuality

A supervisor in the firm's Calgary office has also been sanctioned

Young business woman working at desk typing on a laptop in office and drinking coffee.

The SRO has said it won’t be holding in-person conferences this year

Comments are due Oct. 23

Idea

The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe

gavel

An appearance to set a hearing date will be held by teleconference on Aug. 17

gavel

The longtime advisor, who had no previous disciplinary history, cooperated with IIROC’s investigation

loudspeaker

The mutual fund industry SRO has rejected IIROC's proposal for consolidation