IIROC

IIROC fines firm $100K for double charging in fee-based accounts

Worldsource Securities failed to adopt controls to prevent the double charging

By Staff |January 8, 2019

1 min read

Court rules against hedge fund’s request for IIROC trading data

Case concerns trading of Concordia International shares

By Staff |January 7, 2019

3 min read

IIROC guidance outlines roles for PMs, dealers in service arrangements

The PM and dealer have different roles and regulatory obligations

By James Langton |December 21, 2018

1 min read

Quebec tribunal overturns IIROC decision against rep

The SRO's proceedings constituted "an abuse of process," the tribunal says

By James Langton |December 20, 2018

2 min read