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Keyword: IIROC

521 results found
loudspeaker

SRO to host online event Nov. 27, second session on Dec. 17

gavel

The regulator reduced a rep's fine and suspension following an appeal

Megaphone

The proposed rule changes would include relief from certain re-papering requirements

  • By: Staff
  • October 8, 2020 October 8, 2020
  • 17:16
gavel on a laptop

OSC to consider whether IIROC hearing can go electronic

File

Regulators seek whistleblower tips on short selling ahead of new offerings

stack of documents or files, overload of paperwork on black background

With conduct rules looming, the investment industry has work to do

stack of newspapers

Three new directors were appointed

  • By: Staff
  • September 23, 2020 September 23, 2020
  • 14:50
courtroom gavel

The firm reported that clients had paid trailers on fee-based accounts

gavel on a laptop

The regulator has published best practices for electronic proceedings

  • By: Staff
  • September 15, 2020 September 15, 2020
  • 15:15
Business people, entrepreneur, business, small business concept

Most respondents to an MFDA poll said they supported rethinking the current SRO framework