IIROC

IIROC to continue CFR review with focus on KYC and suitability

Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says

By Michelle Schriver |March 10, 2022

2 min read

Now hiring: CEO, board for new SRO

The CSA is seeking six industry directors and eight independent directors for the board

By James Langton |January 21, 2022

1 min read

IIROC proposes rule amendments to better protect investors

Changes include clearer requirements for dealers to conduct investigations

By Staff |January 13, 2022

1 min read

IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash

By James Langton |January 10, 2022

2 min read