When someone breaches the law and is found guilty of an offence, you expect that they will have to pay the fine or do the time.
Similarly, if investment advisers break the rules and abuse the trust their clients have placed in them, they too should have to pay the penalty.
The Investment Industry Regulatory Organization of Canada (IIROC) regulates investment dealers and their registrants across Canada in the public interest. To do our job well and protect the public, we need to have the tools necessary to vigorously and effectively enforce our rules and collect the fines imposed on individuals who have broken those rules.
ANDREW KRIEGLER – April 01, 2016.
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