Regulation

IIROC seeks to educate accredited investors

The Investment Industry Regulatory Organization of Canada (IIROC) has produced an educational webcast to provide insight into issues related to accredited investors.

April 3, 2012

1 min read

Beware your auditor

Unfortunately, investors believe financial-statement auditors perform much more work than they actually do. Worse still, they think auditors will vouch for that work’s quality when things go awry.

April 1, 2012

6 min read

Two jailed as OSC gets tough

Critics of Canada’s securities regulation regime often claim the provincial commissions lack the teeth—or the will—to get tough on those who tarnish the industry’s image. It appears the OSC has taken this criticism to heart, announcing jail sentences for two men convicted of violating cease trade orders.

By Staff |March 30, 2012

2 min read

IIROC rolls out new fee models

The Investment Industry Regulatory Organization of Canada (IIROC) is implementing new fee models for both market and dealer regulation, effective April 1.

By Staff |March 29, 2012

2 min read