Company tag
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Articles
Firms, associations and reps weigh in on advisor compensation
April 2, 2024
Regulator sanctions agent twice for same infractions
January 11, 2024
Regulator orders $30,000 fine, costs and disgorgement in suitability case
October 30, 2023
Enforcement year in review unveiled by new regulator
October 26, 2023
Tribunal sets aside regulator’s decision and reduces disgorgement order
October 17, 2023
Insurance CEOs discuss outlook at recent financial summit
September 27, 2023
Discretionary trading lands investment representative $15,000 fine
August 17, 2023
Outside activities, accepting monies from issuer leads to $20,000 fine
August 11, 2023