IIROC

IIROC imposed more sanctions, collected less in 2015

IIROC has published its annual Enforcement Report. Total sanctions it imposed in 2015 increased year over year, while the fine collection rate fell.

By Staff |March 31, 2016

2 min read

IIROC and FSCO to share info on rule-breakers

IIROC and FSCO have signed an information-sharing agreement aimed at providing more effective regulation and strengthening consumer protection in Ontario.

By Staff |March 30, 2016

2 min read

IIROC wants court authority to collect fines

01 IIROC ups ante on collecting fines IIROC has a poor record of collecting fines from individuals, but that could soon change. In remarks made to the Ontario Standing Committee on Finance and Economic Affairs in early February, IIROC president and CEO Andrew Kriegler made his case for new enforcement powers in Ontario. “We are […]

March 18, 2016

6 min read

Industry group reacts to IIROC’s game-changing proposal

The IIAC supports one of the major planks of IIROC's potentially game-changing proposal for mutual fund advisors.

By Staff |March 14, 2016

2 min read