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The settlement follows the firm's liquidation last year

  • By: Staff
  • September 16, 2021 September 16, 2021
  • 17:52
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IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say

Time to Launch Clock Deadline Countdown New Business Product Com

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

File

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

An oversight examination has uncovered just one "low-priority" issue with market surveillance

court gavel regulatory

Rep fined $75,000, suspended for six months in settlement with regulators

File

IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

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Reporting changes will be rolled into a bigger project on complaints, investigations

Business people working in a conference room

Investor advisory panel would provide feedback on regulatory policy issues and initiatives