Investment Industry Regulatory Organization of Canada

A 21st century cashflow solution

New whitepaper from Cashfac shows how the right platform can improve your cashflow management

IIROC sanctions PM with $50,000 fine, 12-month ban

Hearing panel finds respondents' disavowal of alterations to client documents after signature 'simply implausible'

Wealth management firms must walk the walk, says investor advocate

Response to IIROC consultation calls for industry to go beyond stock selection and traditional risk profiling, among others

Portfolio manager fined $250,000 for ‘deceptive conduct’

IIROC statement describes abuses of employer trust through backdated and cancelled transactions

IIROC, OSC call for whistleblower tips

Regulatory bodies issue guidance on abusive trading practices ahead of public offerings or private placements

Improved management of clients’ monies by wealth managers and achieving best practice compliance

Manage client expectation with a full cash management and banking platform

IIROC declares success in year one of strategic plan

Latest annual report highlights SRO consolidation proposal, work to prepare for client-focused reforms, and more

CSA shutting the door on trailing commissions for OEO dealers

Securities regulators announce final rules to implement a ban aimed at improving investor protections

Advisor fined, suspended for mismanaging late mother's accounts

Respondent pursued high-risk investment strategy as mother suffered from declining health and symptoms of dementia

Most Canadian investors say 'no' to SRO merger

MFDA poll reveals low public confidence, with majority wanting comprehensive review and stricter government oversight