IIROC

An algorithm may decide your next compliance review

Software can discover traders’ patterns, behaviours and relationships, all without human instruction

By Simon Doyle |November 14, 2017

5 min read

Digging into IIROC’s proposed CE requirements

The SRO is currently reviewing its CE program

By Michelle Schriver |October 20, 2017

5 min read

SIPA to regulators: Fix advisor registration sites, titles

CSA and IIROC accused of adding to investor confusion

By Staff |October 6, 2017

2 min read

Industry still waiting for best interest clarity

At the National Institute on U.S.-Canadian Securities Litigation in Toronto this week, regulators and litigators discussed industry developments. Best interest standard at a standstill? Panellists expressed concern about the best interest standard’s regulatory uncertainty and unintended consequences for advisors and firms’ business models. For example, the OSC needs to clarify the difference between a best […]

By Michelle Schriver |October 5, 2017

3 min read