Investment Industry Regulatory Organization of Canada

IIROC moves forward with early resolution offers

Self-regulator adopts measure as it scraps another previously proposed enforcement tool

Former advisor banned forever from IIROC and MFDA

SROs separately handed down lifetime prohibitions for respondent’s off-book syndicated mortgage sales

IIROC unveils technology risk guide

Document outlines general principles of risk management and recommended controls mainly for small and mid-sized firms

IIROC reveals new members of crypto-asset working group

Industry practitioners, legal and compliance experts, and other professionals step up to support development of tailored regulation

Securities regulators put crypto platforms on notice

Pan-Canadian and provincial watchdogs issue regulatory guidance and deadlines, warn of possible consequences to non-compliance

OSC announces longer leadership stint for Vingoe

Provincial Finance Ministry declares term extension as watchdog embarks on crucial transition

Technology, transformation top IIROC compliance priorities

Report from pan-Canadian regulator underscores ongoing issues and upcoming policy initiatives

Five ways advisors can thrive in the new era

Our industry has been slow to adapt, which presents professionals with the opportunity to not just survive but thrive

Investment advisor fined over unsuitable recommendations

Advisor handed $50,000 penalty for putting client in high-risk coal firm, taking instructions from client’s husband without authorization

Bringing women to the table

Advisors need to put a greater focus on boosting the financial literacy of their female clients, writes Jessica Keus