Investment Industry Regulatory Organization of Canada

IIROC moves forward with client identifier requirements

Pan-Canadian regulator says expanded rules allow for enhanced market monitoring and better investor protection

IIROC fines RBC Dominion Securities $350,000, ex-advisor $50,000

Regulator sanctions firm for failure to supervise former investment advisor who unduly relied on accountant for KYC information

CSA finalizes measures to protect senior and vulnerable clients

Amendments affecting all registered firms, including IIROC and MFDA registrants, to come into force on December 31

Ex-advisor faces $150k fine for excessive trading violations

Former Calgary investment advisor had lost $3 million over five years, and borrowed $95k from a client that was never repaid

IIROC tightens focus on firms’ supervision

Self-regulator underscores remedial measures, senior protection, and expanded toolkit in latest enforcement report

Calming clients’ expectations the greatest challenge of 2021, says advisor

CEO highlights disconnect in the market and explains portfolio moves as he repositions for remainder of the year

Ex-investment advisor to senior with Alzheimer’s in hot water

Alleged breaches include acting as client’s power of attorney for personal care and having his spouse named as beneficiary to will

Dealer platform advances fuel wealth industry performance: IIAC

President and CEO Ian Russell points to 'game-changer' technology advances as crucial factor behind revenue and asset increases

Broker fined $75,000 for failing to disclose property venture

Rep also did not inform his firm of clients' involvement in business that ultimately hit the skids

Supporting the investment industry against cyber threats

IIROC's Senior VP of Member Regulation and Strategy highlights continuing efforts to promote cyber security among its members