IIROC

IIROC suspends, fines rep over discretionary transactions

On December 18, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Xavier Cheng Kuo Li.

By Staff |January 12, 2016

1 min read

Rep allegedly made transactions in dead client’s account

An IIROC hearing has been scheduled in the matter of Denyse Giroux-Garneau.

By Staff |December 21, 2015

2 min read

IIROC suspends Jacob Securities Inc.

IIROC has suspended Jacob Securities Inc.

By Staff |December 18, 2015

2 min read

IIROC floats best execution proposal

IIROC has proposed rule amendments and guidance that seek to update and streamline existing best execution requirements for IIROC-regulated firms.

By Staff |December 10, 2015

2 min read