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Foresight 2020: IIROC Publishes Its Priorities for Fiscal 2020

Canada - June 7 2019 Recently, the Investment Industry Regulatory Organization of Canada (IIROC) published its regulatory priorities for fiscal 2020 and a three-year...

Sean D. Sadler, Rene Sorell.

FINTRAC and IIROC Strengthen Information Sharing with Enhanced Memorandum of Understanding

Canada - June 5 2019 On May 30, 2019, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and the Investment Industry Regulatory Organization of...

Sean D. Sadler, Shauvik Shah, Nataly Dil, Ana Badour, Sonia J. Struthers.

IIROC Releases its Annual Enforcement Report for 2018

Canada - May 31 2019 Earlier this month, the Investment Industry Regulatory Organization of Canada (“IIROC”) published its annual Enforcement Report for 2018 (the...

Sean D. Sadler, Rene Sorell, Andrew Matheson, Shane C. D'Souza.

Reducing Regulatory Burden - Highlights from the OSC’s Third and Final Roundtable

Canada - May 30 2019 As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities...

Sean D. Sadler, Rene Sorell.

Securities regulators pursuing disgorgement orders in other jurisdictions

Canada - May 29 2019 The British Columbia Securities Commission (“BCSC”) reported earlier this month that its $21.7 million disgorgement order against Michael Lathigee...

Rene Sorell, Simon Cameron, Akiva Stern, Shane C. D'Souza.