Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c
Regulators publish list of proposed board members, along with proposed bylaws, rules, fees, governance structures and it
The Canadian Securities Administrators has published a staff notice summarizing the CSA’s oversight of the country’s SRO
The CSA and the CCIR jointly published proposals aimed at enhancing total cost reporting for both investment funds and f
Tim Prescott's successor is about to wrap up the transfer of Excel Private Wealth clients and is forming his Québec team
IIROC orders advisor to pay $70,000 fine and a three-year suspension.
IIROC sanctioned the company for trading supervision failures.