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IIROC panel found rep secretly compensated clients, misled investigators

Business people working in a conference room

The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

Gavel

The SRO withdrew the allegation after settling with the firm's former head

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Marketing tactics by crypto firms are raising concerns with CSA and IIROC

Portrait of young business man and woman sitting in cafe and discussing contract. Diverse businesspeople meeting in hotel lobby reading documents.

The online event on Oct. 13 will focus on diversity issues for frontline staff

gavel on a wooden bench

The settlement follows the firm's liquidation last year

  • By: Staff
  • September 16, 2021 September 16, 2021
  • 17:52
stack of documents or files, overload of paperwork on black background

IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

Dealers must notify the regulator of new products and services

Concept of important choices of a businessman, Business Challenge

Consolidated rules and enhanced governance will be part of the changes

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With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports