The Investment Industry Regulatory Organization of Canada today published its annual enforcement report outlining the actions it has taken to prosecute and sanction investment firms and individuals who have breached its professional and/or ethical obligations. The report also highlights how IIROC is working to strengthen its enforcement powers to improve investor protection.
IIROC reported that the total sanctions it imposed in 2015 increased year over year, while the fine collection rate fell. Last year, IIROC levied over $4.5-million against firms and individuals nationally, compared with $3.67-million in 2014.
ANDREW KREIGLER – Stockwatch – March 31, 2016.
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