Tag: IIROC
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Ontario Receives Praise for Plans to Strengthen Consumer Protection
The Ontario government has received praise from the Investment Industry Regulatory Organization of Canada (IIROC), CARP and Prosper Canada, for proposing legislative amendments aimed...
Tool for Financial Service Regulators to Collect Fines from Advisers Limited
New legislation in Ontario is expected to improve financial service regulators' ability to collect fines levied against unscrupulous advisers, but an investor advocacy group...
Ontario Targets Unethical Financial Advisers with New Industry Measures
The Ontario government announced measures on Friday aimed at protecting investors from unethical advisers and enhancing oversight of the financial-services industry.
Legislation will be proposed...
Enforcement Notice – IIROC Fines and Suspends Former CEO of Jacob Securities Inc. for Supervisory
On March 6, 2017, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC...
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...
