Tag: IIROC
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Legal wrangle sheds light on Ontario’s unique securities regulation regime
This is the story of the First Leaside Group, a residential real estate investment firm located in Uxbridge, Ont. It is not a happy...
Who? IIROC’s new head seen as an outsider among brokerages
The new head of the investment industry’s main self-regulator is up against two troubling issues: Some people don’t know who he is, and others...
OSFI deputy Andrew Kriegler leaving to take over as head of IIROC
Andrew J. Kriegler, a deputy superintendent at Canada’s powerful banking regulator who missed out on the top job there in June, is heading instead...
What protection do you have if your broker goes broke?
Bad news: There is no investor protection scheme to make good your losses in a financial market decline.
This clarification is offered up to the...
Brokerage industry mulls ending monopoly on training
Canada’s brokerage industry regulator is pondering an overhaul of the course and exam requirements for people working in the financial sector, launching a review...
