IIROC

IIROC proposes using client identifiers

IIROC has launched a consultation on using client identifiers, bringing Canada’s rules in line with requirements in the United States and the EU. The goal, according to the self-regulatory group for investment dealers, is to enhance market integrity, protect investors and address electronic trading risks “while minimizing impact on the investment industry.” The consultation will […]

By Staff |May 18, 2017

2 min read

IIROC fines rep for failing to report $750,000 gift from client

Mitigating factors include an internal fine and a civil action

By Staff |May 16, 2017

2 min read

IIROC shouldn’t have court authority to collect fines: lawyer

Wrongdoers are already adequately disciplined, and harmed investors won't benefit, says lawyer

By Staff |May 12, 2017

2 min read

Commission accounts have a place, IIROC says

Fees don't fit all.

By Staff |May 2, 2017

1 min read