Tag: IIROC
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Exempt market players failing to follow the rules, B.C. Securities Commission says
Capital continues to move at such a high speed from stringently regulated public markets to the lightly monitored private arena that regulators are scrambling...
Brokerage regulator looks to new challenges after IIROC
Susan Wolburgh Jenah is retiring as head of Canada’s brokerage industry regulator, saying she wants to tackle new goals after spending eight years as...
Five ways regulation protects investors
1. Meeting the standards
Dealers, advisers and investment fund managers must demonstrate fitness for registration at the time they apply for registration, and they must...
Registration categories
Dealers and advisers – know the difference
“Dealer” and “adviser” aren’t just titles – they’re legal terms that describe a range of people who can...
How registration protects investors
Generally, anyone selling securities, offering investment advice or acting as an investment fund manager in Canada must register with a securities regulator.
4 key things...
