IIROC

IIROC’s Kriegler to lead new SRO

Regulators are also forming a new advisory committee to review SRO consolidation

By Staff |June 27, 2022

2 min read

Review recommends binding powers for OBSI — again

It remains up to regulators to act on long-standing recommendation

By James Langton |June 13, 2022

3 min read

Values-based conversations key to ESG investing and KYC requirements

An RIA panel discussed the challenges and opportunities of integrating ESG considerations into know-your-client procedures

By Daniel Calabretta |June 13, 2022

2 min read

IIROC hits Ng with record $5-million fine

The penalty follows allegations that he deceived lenders with fake collateral

By James Langton |June 1, 2022

2 min read