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.

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...

Nov 11, 2014, 10:30 ET

IIROC and BBB ask Canadians: "How much do you really know about investing?"

Encouraging investors to improve their investment knowledge TORONTO, Nov. 11, 2014 /CNW/ - As part of Financial Literacy Month, the Investment...

Nov 07, 2014, 14:59 ET

Enforcement Notice - Hearing - IN THE MATTER OF David Guy Schayes - Penalty Hearing

CALGARY, Nov. 7, 2014 /CNW/ - A penalty hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization...

Nov 06, 2014, 18:00 ET

Enforcement Notice - Decision - IN THE MATTER OF Alistair Malcolm Melville - Settlement Accepted

TORONTO, Nov. 6, 2014 /CNW/ - On October 23rd a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a...

Nov 06, 2014, 15:05 ET

Enforcement Notice Decision - IN THE MATTER OF Sunday Bamidele Opaleke - Settlement Accepted

CALGARY, Nov. 6, 2014 /CNW/ - On Monday, October 6, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...

Nov 05, 2014, 15:15 ET

Enforcement Notice - Hearing - IN THE MATTER OF Glenn Arthur Taggart - Appearance to set a hearing date

TORONTO, Nov. 5, 2014 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of...

Nov 04, 2014, 15:39 ET

Enforcement Notice - Decision/Hearing - IN THE MATTER OF Paul Christopher Darrigo - Discipline decision - Liability and Penalty Hearing

TORONTO, Nov. 4, 2014 /CNW/ - Following a disciplinary hearing held on September 22-26, 2014, in Toronto, Ontario, a Hearing Panel of the...

Nov 04, 2014, 11:42 ET

IIROC launches new online investor tools and collaborates with partners during Financial Literacy Month

Strengthening financial literacy and investor knowledge TORONTO, Nov. 4, 2014 /CNW/ - As part of Financial Literacy Month, the Investment...

Oct 31, 2014, 10:46 ET

Enforcement Notice - Decision - THE MATTER OF Mark Fridgant - Discipline decision - Liability and Penalty

TORONTO, Oct. 31, 2014 /CNW/ - Following a disciplinary hearing held on August 26, 2014, in Toronto, Ontario, a Hearing Panel of the Investment...

Oct 30, 2014, 14:21 ET

Enhancing investor protection and market integrity through improved surveillance

IIROC publishes new rule requiring debt transaction reporting TORONTO, Oct. 30, 2014 /CNW/ - The Investment Industry Regulatory Organization...

Oct 29, 2014, 15:15 ET

Enforcement Notice - IN THE MATTER OF Tempest Capital Corp. - Settlement Accepted

VANCOUVER, Oct. 29, 2014  /CNW/ - On October 23, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC)...