investment industry Archives - The Industry Spread

Majority of Canadian Investors Support Measures to Protect Vulnerable Investors, IIROC Survey Reveals

July 2, 2019

Canadians want regulatory rules, policies and procedures put in place to prevent financial exploitation June 21, 2019 (Toronto, Ontario) – The Investment Industry Regulatory Organization of Canada (IIROC) today released results of a new national IIROC survey showing an overwhelming majority of Canadian investors believe that protective measures should be put in place to ensure that investment firms and advisors can take action when they suspect investors have become vulnerable or that others might be attempting to financially exploit them.

FINTRAC Reinforces Its Partnership with the Investment Industry Regulatory Organization of Canada

June 3, 2019

Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Regulators are strengthening their collaborative efforts to identify and combat money laundering and terrorist activity financing risks in the securities dealers sector across Canada. FINTRAC announced today that its Memorandum of Understanding with the Investment Industry Regulatory Organization of Canada (IIROC) has been strengthened to allow for greater cooperation and information sharing in the fight against money laundering and terrorist activity financing, while reducing the duplication of effort and the compliance burden for Canadian securities dealers.

Canadian Securities Regulators Consult on Regulatory Framework for Crypto-Asset Trading Platforms

March 22, 2019

The Canadian Securities Administrators (CSA) and Investment Industry Regulatory Organization of Canada (IIROC) today published Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21- 402 Proposed Framework for Crypto-Asset Trading Platforms. The consultation paper seeks input from the fintech community, market participants, investors and other stakeholders on how regulatory requirements may be tailored for crypto-asset trading platforms (platforms) operating in Canada.

National Survey: Investors Support Proposed IIROC Enforcement Alternatives

November 12, 2018

A majority of Canadian investors surveyed for the Investment Industry Regulatory Organization of Canada (IIROC) support the regulator’s proposals to provide alternative approaches to enforcement that would encourage early settlement of disciplinary cases and divert minor rule violations away from lengthy hearings.

Canadian securities regulators align to publish harmonized response to concerns with the client-registrant relationship

June 22, 2018

CSA publishes reforms to put clients’ interests first and indicate policy decision on embedded commissions Toronto – The Canadian Securities Administrators (CSA) today published two notices concerning investor protection initiatives. The first requests …


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