Home IIROC

Keyword: IIROC

558 results found
Notepads

Changes include clearer requirements for dealers to conduct investigations

  • By: Staff
  • January 13, 2022 January 13, 2022
  • 14:10
Wooden gavel used by a judge or auctioneer

Clients lost over $1 million on risky options strategy in market crash

Gavel

The ex-representative embezzled funds from elderly clients

Lawyer writing in legal book

The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed

loudspeaker

Debra Doucette takes the role as Holly A. Benson steps down

  • By: Staff
  • November 24, 2021 November 24, 2021
  • 15:25
Time to Launch Clock Deadline Countdown New Business Product Com

Regulators aim to name CEO, board by Q2 next year

Street with colorful houses near ocean in St. John’s, Newfoundland, Canada

The regulator can now collect fines through the courts countrywide

  • By: Staff
  • November 17, 2021 November 17, 2021
  • 16:56
Lawyer

Rep sought to repay money with risky options trading

The regulator's accreditation relationship with CECAP will end on Dec. 31

  • By: Staff
  • October 25, 2021 October 25, 2021
  • 11:26
gavel

IIROC panel found rep secretly compensated clients, misled investigators