Investment Industry Regulatory Organization of Canada

Regulators propose enhanced transparency for fund fees

Harmonization applies to investment and seg funds, and will provide investors with increased cost visibility

Former investment advisor liable for misappropriating nearly $600,000

IIROC finds ex-advisor took money from clients under false pretenses, and made unauthorized trades

Are advisors arming themselves with RI knowledge?

Responsible Investment Association's new CEO sheds light on ongoing work to help fill Canada's RI advice gap

CIFSC aims for ESG clarity with RI fund identification framework

Proposed framework aims to help advisors, investors, and fund manufacturers align with common definitions of RI approaches

IIROC sanctions ex-advisor for unauthorized pandemic trades

Investigation reveals respondent engaged in discretionary trading during depth of COVID-19 downturn without client's knowledge

Don't disregard households in suitability considerations, says IIAC

Industry association calls for adjustments to guidance in CFRs and IIROC KYC guidelines to reflect joint report's findings

IIROC unveils compliance priorities guidance

SRO cites cybersecurity risks, conflicts of interest, and misleading communications among concerns

Why protecting clients from fraud isn't a zero-sum game

Portfolio manager and advisor speaks out on industry’s duty toward Canadians, and what can be done to keep them safe

OBSI’s board of directors welcomes new chairwoman

Maureen Jensen brings her two-decade expertise to the independent financial ombudsman

CI announces investment to advance crypto leadership position

Firm moves to enable digital asset trading in its wealth platform with minority stake in Canadian crypto company