IIROC

IIROC proposes expansion of single-stock circuit breakers

IIROC published proposed guidance to expand the single-stock circuit breaker program to further mitigate market volatility. It’s looking for industry comment on its proposal.

By Staff |December 11, 2013

1 min read

Canaccord to pay $750,000 fine

Canaccord admitted that it failed to adequately supervise retail client account activity.

By Staff |December 3, 2013

1 min read

IIROC heeds comment letters, announces do-over

The Investment Industry Regulatory Organization of Canada (IIROC) today re-issued for comment proposed amendments to consolidate IIROC dealer and market enforcement-related rules.

By Staff |November 15, 2013

1 min read

IIROC proposes revised sanction guidelines

IIROC is looking for comment on its revised consolidated disciplinary sanction guidelines, which set out general principles and key factors to be considered by hearing panels.

By Staff |November 6, 2013

1 min read