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Crypto-asset traders may be subject to securities legislation

The Canadian Securities Administrators (CSA) published Staff Notice 21-327 on Jan. 16, entitled Guidance on the Applicat

INVESTMENT | January 16 2020 01:33PM
Unsuitable client trades end in sanctions for IIROC-registered rep

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement

INVESTMENT | January 15 2020 10:06AM
IIROC levies $90k in fines and costs

The Investment Industry Regulatory Organization of Canada (IIROC) announced it has accepted a settlement agreement, with

INVESTMENT | January 13 2020 12:05PM
IIROC publishes list of compliance priorities for 2020

The Investment Industry Regulatory Organization of Canada (IIROC) has issued its latest compliance report, highlighting

INVESTMENT | January 06 2020 02:08PM
IIROC fines, suspends portfolio manager for tampering with client files

The Investment Industry Regulatory Organization of Canada (IIROC) announced that it has accepted a settlement agreement,

INVESTMENT | December 13 2019 09:56AM
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CSA to review IIROC and MFDA regulations

The Canadian Securities Administrators (CSA) announced today that it will undertake a review of the regulatory framework

INVESTMENT | December 12 2019 02:45PM
Barriers to financial advice include lack of confidence

Canadians who are not currently investing say their lack of knowledge and confidence are a barrier to accessing financia

INVESTMENT | December 10 2019 02:01PM