IIROC

IIROC advisor? SRO floats proposal on membership disclosure

IIROC has republished for comment proposed amendments to the requirements for IIROC Dealer Members to disclose that they are regulated by IIROC.

By Staff |November 5, 2015

2 min read

IIROC debt-market regulation fee model takes effect November 1

IIROC has announced it has received approval from the Canadian Securities Administrators (CSA) of a new cost-recovery fee model for debt market oversight.

By Staff |October 29, 2015

1 min read

No-contest settlements still hot-button issue

Protecting harmed investors involves more than covering financial losses.

October 27, 2015

3 min read

Assante fined $400,000 over failed Tier 2 supervision

On October 13, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Assante Capital Management Ltd.

By Staff |October 27, 2015

1 min read