Tag: IIROC
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IIROC proposes amendments to market integrity rules to align with CSA changes
The Investment Industry Organization of Canada (IIROC) today issued for comment proposed amendments to the Universal Market Integrity Rules (UMIR) to align with a...
IIROC publishes study on impact of dark rule amendments
The Investment Industry Regulatory Organization of Canada recently published a study on the "Impact of the Dark Rule Amendments" which analyses the dark liquidity...
IIROC extends unwinding of existing trustee, executorship and POA arrangements
The Investment Industry Regulatory Organization of Canada (IIROC) has pushed back the deadline for unwinding certain trustee, executor, and power of attorney arrangements under...
Enforcement – Firms must monitor advisors and clients: IIROC report
The Investment Industry Regulatory Organization of Canada has released its third annual enforcement report.
The report shows that, in 2014, IIROC imposed fines of $3...
