News from investment industry regulatory organization of canada (iiroc) - general news A wide array of domestic and global news stories; news topics include politics / government, business, technology, religion, sports/entertainment, science/nature, and health/lifestyle. Articles that appear in this section may be written in English or other languages, as well.

Dec 18, 2014, 10:00 ET

IIROC publishes final guidance on underwriting due diligence

Promotes consistency and enhanced standards TORONTO, Dec. 18, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today...

Dec 17, 2014, 11:35 ET

Enforcement Notice - Decision - IN THE MATTER OF John Phillip Watts and Sean Thomas Hickey - Order and Adjournment

TORONTO, Dec. 17, 2014 /CNW/ - Following a set date hearing held on September 30, 2014, in Charlottetown, Prince Edward Island, a Hearing...

Dec 17, 2014, 11:16 ET

IIROC publishes academic papers on impact of HFT

Results to shed light on HFT impact on market quality and integrity TORONTO, Dec. 17, 2014 /CNW/ - The Investment Industry Regulatory...

Dec 15, 2014, 10:02 ET

IIROC publishes guidance to clarify requirements for foreign execution of Canadian orders

Planned proposal addresses Canadian market competitiveness  TORONTO, Dec. 15, 2014 /CNW/ -  The Investment Industry Regulatory...

Dec 12, 2014, 11:30 ET

Enforcement Notice - Hearing - IN THE MATTER OF Paul Christopher Darrigo - Penalty Hearing

TORONTO, Dec. 12, 2014 /CNW/ - A continuation of the penalty hearing held on November 7, 2014 has been scheduled before a Hearing Panel of the...

Dec 11, 2014, 11:12 ET

IIROC proposes fee model for debt market regulation

Principles of fairness, transparency and industry competitiveness TORONTO, Dec. 11, 2014 /CNW/ - The Investment Industry Regulatory Organization...

Dec 08, 2014, 15:56 ET

Enforcement Notice - Decision - IN THE MATTER OF Grant Patrick Matthews - Discipline decision - Liability

CALGARY, Dec. 8, 2014 /CNW/ - Following a disciplinary hearing held on September 22 – 24, 2014, in Calgary, Alberta, a Hearing Panel of the...

Dec 08, 2014, 15:50 ET

Enforcement Notice - Hearing - IN THE MATTER OF Grant Patrick Matthews - Penalty Hearing

CALGARY, Dec. 8, 2014 /CNW/ - A penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Dec 08, 2014, 13:20 ET

Enforcement Notice - Decision - IN THE MATTER of Paul Milot - Settlement Accepted

MONTRÉAL, Dec. 8, 2014 /CNW/ - On November 13, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Dec 01, 2014, 15:30 ET

Enforcement Notice Decision - IN THE MATTER OF Marco Myatovic and Doreen Lowe - Hearing and Review Decision

VANCOUVER, Dec. 1, 2014 /CNW/ - The liability decision of an IIROC Hearing Panel dated July 31, 2012 and the penalty decision of the same...

Nov 25, 2014, 16:40 ET

Enforcement Notice - Decision - IN THE MATTER OF Industrial Alliance Securities Inc. - Settlement Accepted

TORONTO, Nov. 25, 2014 /CNW/ - On November 4, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Nov 19, 2014, 14:24 ET

Enforcement Notice - Decision - IN THE MATTER of Milad Nassif - Settlement Accepted

MONTRÉAL, Nov. 18, 2014 /CNW/ - On October 16, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Nov 19, 2014, 11:00 ET

IIROC staff teach students the basics of financial success

Ongoing Junior Achievement partnership supports youth financial literacy TORONTO, Nov. 19, 2014 /CNW/ - To highlight Financial Literacy Month,...

Nov 18, 2014, 15:45 ET

Enforcement Notice - Decision - IN THE MATTER OF Douglas John Eley - Discipline decision - Liability and Penalty

TORONTO, Nov. 18, 2014 /CNW/ - Following a disciplinary hearing held on October 2nd, 2014, in Toronto, Ontario, a Hearing Panel of the...

Nov 17, 2014, 15:45 ET

Enforcement Notice - IN THE MATTER OF Daryl William Wood - Settlement Accepted

VANCOUVER, Nov. 17, 2014 /CNW/ - On October 14, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted...

Nov 14, 2014, 15:24 ET

Enforcement Notice - IN THE MATTER OF JOHN GORDON KELLY - Settlement Accepted

TORONTO, Nov. 14, 2014 /CNW/ - On October 22, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Nov 13, 2014, 15:58 ET

Enforcement Notice - Decision - IN THE MATTER OF Rajesh D'Souza - Settlement Accepted

TORONTO, Nov. 13, 2014 /CNW/ - On October 22, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Nov 13, 2014, 14:45 ET

Increasing investor awareness - IIROC requests comments on revised rules for membership disclosure

TORONTO, Nov. 13, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today re-published for comment proposed...

Nov 13, 2014, 10:48 ET

Strengthens market integrity - IIROC publishes final guidance for Order Execution Services as a form of third-party electronic access

TORONTO, Nov. 13, 2014 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today issued final guidance and rule amendments to...

Nov 11, 2014, 15:05 ET

Enforcement Notice Decision - IN THE MATTER OF Lakeshore Securities Inc. - Settlement Accepted

TORONTO, Nov. 11, 2014 /CNW/ - On October 15, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...