Regulatory

IIROC proposal changes game for advisors

IIROC's floating a proposal that would allow firms and individuals to limit their business to mutual funds and ETFs.

By Staff |November 26, 2015

2 min read

N.Y. attorney general investigating spoofing on FX options markets

New York’s attorney general has launched an investigation into possible market manipulation involving “spoof” bids and offers on the foreign exchange options markets, reports the New York Times’ Dealbook.

By Staff |November 25, 2015

1 min read

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