Regulatory

CSA publishes list of unprotected marketplaces

The Canadian Securities Administrators (CSA) has published CSA Staff Notice 23-316 , which lists marketplaces that will be considered unprotected for the purposes of the order protection rule.

By Staff |June 20, 2016

1 min read

IIROC pushing hard for more enforcement powers

IIROC’s president and CEO Andrew Kriegler made it clear today that IIROC has no intention of backing off its push to get new and more effective enforcement powers, including court authority to collect fines.

By Staff |June 17, 2016

2 min read

IIROC amends membership disclosure policy

IIROC has published final rule amendments that set out requirements for IIROC Dealer Members to disclose that they are regulated by IIROC and link their websites directly to IIROC's searchable database of advisors working for these firms.

By Staff |June 16, 2016

1 min read

Former rep fined $20,000 over leveraged ETFs

Following a penalty hearing held on May 16, 2016 in Toronto, Ontario, a hearing panel of the Investment Industry Regulatory Organization of Canada imposed penalties on Kim Husebye.

By Staff |June 14, 2016

1 min read