Investment Dealers Adopting More Stringent Hiring Practices


There’s evidence to suggest investment dealers are stepping up their hiring practices, according to a new report from the Investment Industry Regulatory Organization of Canada (IIROC) on exemption activity

The report details the exemption requests that IIROC has handled over the past year, including applications for exemptions from trading rules, certain dealer rules and from proficiency requirements.

Read full article here.

James Langton – Investment Executive – March 10, 2017.

Want More Investigative Content?

Curate RegWatch
Curate RegWatch
In addition to our original coverage, RegWatch curates top stories on issues and impacts arising from the regulation of economic, social and environmental activity in Canada and the U.S.


Please enter your comment!
Please enter your name here


Breakdown | Assessing the War on Vaping | RegWatch

Could the war on vaping in the U.S. finally take a turn in favor of tobacco harm reduction? It’s a legitimate question even though...