New guidance note emphasizes dealer members’ obligations with respect to suitability, communications, and supervision
Joint notice from CSA, IIROC, and OBSI outline concerns about registered firms’ internal complaint-handling systems
Poll reveals plans to increase utilization, investment areas for ETF use, and considerations in using ETFs
Association's president backs paper on proposed new single SRO framework and believes it can enhance industry governance
Responsible Investment Association argues lack of standards should not prevent conversations around sustainability and values
SRO's annual report touts wins in pandemic operations, engagement with other regulators, and investor protection initiatives
Addenda's Delaney Greig puts ESG in the spotlight
Fintech firm finalizes acquisition of investment dealer as it aims to become the leading next-gen digital wealth platform
Investment research firm calls on IIROC to provide more-granular guidance so as to avoid 'check-the-box' exercises
IIROC rules former investment advisor engaged in excessive trading that led to losses of more than $1.3 million
