Investment Industry Regulatory Organization of Canada

Are planners about to get the respect they deserve?

Raging bull market covered up lack of planning and COVID-19 crisis has provided profession with a chance to shout their value from the rooftops

Pre-signed forms continue to lead MFDA cases

Latest enforcement report highlights pervasive problem as well as enhancements to regulatory powers

IIROC highlights beefed-up powers in 2019

Self-regulatory organization's latest enforcement report highlights enhanced efforts and powers for investor protection

Advisor handed $70,000 penalty and five-year ban

IIROC issues sanction, finds respondent 'failed in his duty to protect the financial markets'

IIROC urged to take action on clauses

Advocate says provisions that undermine investor protections should be investigated and nullified

CSA pushes back deadline for client-focused reforms

Canadian securities regulators issue relief orders as pandemic imposes operational pressures on industry

IIROC announces deferred payment relief

Regulator outlines changes affecting about 90% of its members amid COVID-19 challenges

No need for short-selling clampdown, say Canadian securities regulators

CSA and IIROC affirm benefits of short selling, and cites 'robust framework' in place to monitor and intervene when necessary

How many clients have you been in touch with?

Advisor explains three ideas to help you keep in touch with clients and alleviate stress load

Beware of cyber risks from COVID-19, says IIROC

Self-regulatory organization urges vigilance against malware and phishing, as well as possible account intrusions