IIROC

IIROC report highlights upcoming proposals

IIROC has published a new policy priorities report.

By Staff |August 29, 2013

1 min read

Rep fined $40,000

A hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Steven Frank Carinci.

By Staff |August 27, 2013

1 min read

IIROC terminates firm’s membership

On July 30, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and First Financial Securities.

By Staff |August 16, 2013

1 min read

Rep fined, suspended for borrowing from client

On July 25, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with penalties, between IIROC staff and Jacques Turenne.

By Staff |August 14, 2013

1 min read