Tag: IIROC
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IIROC Seeks Comments on Latest Edition of Rulebook
The Investment Industry Regulatory Organization of Canada (IIROC) has published the latest edition of its proposed plain language rulebook for a second round of...
Scotia Capital Agrees to $175,000 Settlement with IIROC
An Investment Industry Regulatory Organization of Canada (IIROC) hearing panel has accepted a settlement with Scotia Capital Inc. that will see the firm pay...
IIROC Issues Guidance for Supervising Work-from-Home Arrangements
The Investment Industry Regulatory Organization of Canada (IIROC) has issued new guidance for firms on supervising employees who work from home as the investment...
IIROC releases 2015 enforcement report
The Investment Industry Regulatory Organization of Canada today published its annual enforcement report outlining the actions it has taken to prosecute and sanction investment...
Canadian securities regulators outline next steps in the implementation of enhancements for regulation of the fixed income market
Today the Canadian Securities Administrators (CSA) published CSA Staff Notice 21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed...
