Investment Industry Regulatory Organization of Canada

Handle leveraged and inverse ETF sales with care, says IIROC

New guidance note emphasizes dealer members’ obligations with respect to suitability, communications, and supervision

Don't use internal ombudsman as OBSI decoy, regulators warn firms

Joint notice from CSA, IIROC, and OBSI outline concerns about registered firms’ internal complaint-handling systems

IIROC brokers won't pull back on ETF use, CETFA says

Poll reveals plans to increase utilization, investment areas for ETF use, and considerations in using ETFs

This is perfect opportunity to build the best SRO, says PMAC

Association's president backs paper on proposed new single SRO framework and believes it can enhance industry governance

Why it's time to make ESG part of KYC

Responsible Investment Association argues lack of standards should not prevent conversations around sustainability and values

IIROC highlights progress on three-year strategic plan

SRO's annual report touts wins in pandemic operations, engagement with other regulators, and investor protection initiatives

Mogo steps closer toward commission-free stock trading

Fintech firm finalizes acquisition of investment dealer as it aims to become the leading next-gen digital wealth platform

Client risk profiling should go further, says Morningstar Canada

Investment research firm calls on IIROC to provide more-granular guidance so as to avoid 'check-the-box' exercises

Former advisor found liable for churning in senior client's account

IIROC rules former investment advisor engaged in excessive trading that led to losses of more than $1.3 million