Investment Industry Regulatory Organization of Canada

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

Mind the coronavirus compliance gap

As technology plays a bigger role in financial firms' operations, they have to be mindful of increased risks

TD Waterhouse slapped with $4 million fine

IIROC panel rejects firm's claim of slip-up, concludes CRM2 breach was a 'wilful business decision'

IIROC announces expert investor issues panel

Self-regulatory organization will seek input on new panel to complement other consumer-engagement efforts

CSA proposing changes to senior-protection guidelines

Amendments address situations of compromised mental capacity or potential financial exploitation of vulnerable clients

IIROC: New board members must have retail investor expertise

Regulator sets out formal criteria for upcoming appointments, with three directors set to be elected

Why do clients fire their advisors?

The Whiteboard: addressing the primary reason clients leave you and how to minimize those losses

CFA Institute gains additional IIROC recognition

New rule adds CFA program to possible pathways of aspiring investment management professionals

What the world can teach us about wealth management

The Whiteboard: true integrated planning and fee retainers are just two areas where other countries can inspire Canadian firms