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

FINANCE

Curate RegWatch - April 13, 2017

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

FINANCE

Curate RegWatch - April 12, 2017

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

FINANCE

Curate RegWatch - June 1, 2016

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

FINANCE

Curate RegWatch - April 28, 2016

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...

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