Regulation

IIROC will share disciplinary decisions with Quebec

The Investment Industry Regulatory Organization of Canada and the Chambre de la sécurité financière has entered into an agreement that aims to help protect investors in Quebec.

By Staff |November 19, 2015

1 min read

Former IIROC rep suspended, fined $30,000

On November 3rd, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Robert Connor.

By Staff |November 18, 2015

2 min read

What to do when clients break market rules

In its 2014 report, IIROC identified many cases where firms and advisors hadn’t fulfilled their obligations as efficient market gatekeepers. So, firms need to more closely monitor the trading activities of both advisors and their clients, especially if clients have been granted direct access to markets (see “Learn the lingo”). The rules Firms must have […]

November 6, 2015

4 min read

Regulators publish additional crowdfunding exemption

Several regulators have published, in final form, Multilateral Instrument 45-108 Crowdfunding.

By Staff |November 5, 2015

2 min read