Tag: IIROC
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Regulatory burden sinking junior capital market
Nervous investors shunning risky stocks continue to make it difficult for publicly traded venture companies to raise capital. But boutique investment brokers in B.C....
IIROC data loss preventable: Privacy commissioner
The loss of the financial information of some 52,000 brokerage firm clients last week could have been prevented if the Investment Industry Regulatory Organization...
Canada’s investment regulator misplaces client info
A portable device containing the personal information of 52,000 clients from dozens of investment firms has been reported missing.
The Investment Industry Regulatory Organization (IIROC)...
