IIROC urges investment dealers to start prepping for rule changes now
Two former executives face a hearing next year
Applications are due Dec. 31
IIROC has set date for disciplinary hearing
Protecting material non-public information is paramount when staff work remotely
Proposals modify IIROC's rules to adhere to upcoming regulatory reforms
SRO to host online event Nov. 27, second session on Dec. 17
The regulator reduced a rep's fine and suspension following an appeal
The proposed rule changes would include relief from certain re-papering requirements
OSC to consider whether IIROC hearing can go electronic