Tag: IIROC
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Royal Bank of Scotland Replaces Face-To-Face Financial Advice with “Robo-Advisers”
The Royal Bank of Scotland has announced it will be switching customer advice services over to “robo-advisers.” The company was given the green...
Investment watchdog asks for stronger collection powers
Canada’s brokerage industry regulator wants the Ontario government to give it stronger powers to collect fines from industry officials who refuse to pay their...
CSA releases review of IIROC oversight
The Canadian Securities Administrators (CSA) have released their review of the Investment Industry Regulatory Organization of Canada’s (IIROC) regulatory performance. In particular, the CSA...
Industry group reacts to IIROC’s game-changing proposal
Last November, IIROC released a white paper outlining a potentially game-changing proposal for mutual fund advisors.
Under the proposal, IIROC would:
eliminate the proficiency upgrade requirement,...
IIROC gets report card from CSA
The Canadian Securities Administrators (CSA) have released the Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) that evaluates whether specific...
