IIROC

Former advisor to pay more than $55K for personal dealings with a client

He was also suspended for two years

By Staff |November 6, 2018

2 min read

Territories give IIROC greater enforcement power

Seven provinces have also given IIROC greater enforcement authority

By Staff |November 2, 2018

1 min read

Nova Scotia gives IIROC greater enforcement power

Regulator has same powers as in Alberta and Quebec

By Staff |October 12, 2018

1 min read

IIROC fines advisor $60K for accepting entertainment tickets

Concert and racing tickets were requested and received from fund companies

By Staff |October 9, 2018

2 min read