IIROC

IIROC proposes guidance on underwriting

IIROC has published for comment proposed guidance outlining common due diligence practices and suggestions for IIROC dealers involved in the offering of securities to the public as underwriters.

By Staff |March 6, 2014

2 min read

Firms need help handling CRM2 reforms, says IIAC

IIAC has formed a CRM2 working group

By Staff |February 24, 2014

2 min read

Industry reacts to Financial Advisors Act

A new private member bill tabled by Sudbury, Ont. MPP Rick Bartolucci is already garnering industry attention.

By Suzanne Sharma |February 21, 2014

3 min read

IIROC nixes planner proficiency rule

On August 8, 2008, the IIROC proposed a rule on financial planning that contemplated basic proficiency and supervisory requirements for IIROC reps who hold themselves out as financial planners.

By Staff |February 20, 2014

1 min read