investment firms Archives - The Industry Spread

Firms must enhance measures to protect consumers when selling complex investment products – Central Bank of Ireland

July 5, 2020

Central Bank publishes findings from inspection of investment firms’ compliance with appropriateness test for consumers. Appropriateness test requires firms to assess information on the consumer’s knowledge and experience and to …

IIROC and FINTRAC Enhance Cooperation to Protect Against Money Laundering

June 6, 2019

May 30, 2019 (Toronto, Ontario) – The Investment Industry Regulatory Organization of Canada (IIROC) and the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) today announced a new Memorandum of Understanding (MOU) to better protect against money laundering and terrorist financing while reducing the compliance burden on IIROC-regulated investment firms.

IIROC-Regulated Investment Firms Increase Cybersecurity Preparedness

April 6, 2019

Canadian investment firms have taken concrete steps to put in place appropriate cybersecurity measures to manage threats and protect their clients and businesses, according to a survey completed by all firms regulated by the Investment Industry Regulatory Organization of Canada (IIROC).

Broadridge Launches MiFID II Article 50 Reporting Solution

September 14, 2018

Broadridge Financial Solutions has launched a new solution to support investment firms with their MiFID II ex-post reporting obligations outlined under Article 50 of the Delegated Regulation. The solution has already drawn significant market interest, including the signing of a leading international investment firm.