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New self regulatory organization approved

Members of the MFDA and IIROC passed a special resolution approving the amalgamation of their organizations.

INVESTMENT | September 30 2022 10:58AM
Regulator issues alert concerning Sigma Invest Options Inc.

The Investment Industry Regulatory Organization of Canada is warning Canadian investors that the company falsely claims …

INVESTMENT | September 30 2022 10:26AM
Rep sanctioned for third party app usage and failing to act as gatekeeper

More than $90,000 in fines, commission disgorgement and costs ordered after representative admits to ignoring red flags.

INVESTMENT | September 22 2022 02:49PM
Saskatchewan urged to drop proposed competency rules for advisors

Submission suggests that a non-harmonized approach to title regulation should be reconsidered.

INVESTMENT | September 21 2022 10:23AM
Regulator publishes annual report

Ahead of self-regulatory organization amalgamation, IIROC discusses progress made against stated strategic plans.

INVESTMENT | September 20 2022 10:55AM
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Regulator proposes to levy more than $283,500 in administrative penalties

Reasons recount coercion, unreported outside business activities and additional regulatory actions being brought against…

INVESTMENT | September 02 2022 10:00AM
Regulators expects crypto trading platforms to provide pre-registration details

Crypto trading platforms must agree to comply with terms.

INVESTMENT | August 18 2022 10:23AM