IIROC

Former public sector exec from Nova Scotia joins IIROC board Fallback Image Decorative pattern

Industry

Former public sector exec from Nova Scotia joins IIROC board

Victoria Harnish will serve a two-year term

By Staff |January 30, 2020

1 min read

IIROC fines Toronto brokerage $100,000 for suitability failures Fallback Image Decorative pattern

Industry

IIROC fines Toronto brokerage $100,000 for suitability failures

The firm didn't question the concentration in a high risk, exempt market product, the agreement said

By James Langton |January 23, 2020

1 min read

Survey uncovers skepticism about industry regulation Fallback Image Decorative pattern

Industry

Survey uncovers skepticism about industry regulation

Aspiring investors aren’t confident that investment advice is properly regulated, IIROC finds

By Maddie Johnson |January 21, 2020

1 min read

IIROC fines advisor $60K for due diligence failures Fallback Image Decorative pattern

Industry

IIROC fines advisor $60K for due diligence failures

The advisor's client was mentally incapacitated, and her son made unauthorized trades in her account

By Staff |January 15, 2020

2 min read

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