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

FINANCE

Curate RegWatch - March 29, 2016

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

FINANCE

Curate RegWatch - March 28, 2016

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

FINANCE

Curate RegWatch - March 28, 2016

The Canadian Securities Administrators (CSA) have released the Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) that evaluates whether specific...

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