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238 results found
McMillan LLP | Canada | 24 Apr 2023
“But Everybody Does It”: Appellate guidance on “Innocuous” conduct involving IIROC
In the case of Eley v. Ontario Securities Commission,a former registered representative appealed to Ontario’s Divisional Court the Ontario…
Torys LLP | Canada | 27 Jan 2023
New year, “New SRO” … new enforcement?
As of January 1, 2023, the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA) ceased to…
AUM Law | Canada | 31 Oct 2022
A Book a Day Keeps the Monsters Away - IIROC Requests Expressions of Interest for Enhanced Proficiency Regime
Earlier this month, the Investment Industry Regulatory Organization of Canada (IIROC) released a request for Expressions of Interest for potential…
Borden Ladner Gervais LLP | Canada | 1 Jun 2022
Crypto alternative trading system: Notice of operations and request for comment
On May 16, 2022, Coinsquare Capital Markets Ltd. (Coinsquare) filed a notice and request for comment (the Notice) with the Ontario Securities…
McMillan LLP | Canada | 7 Jul 2021
Canadian Regulatory Direction and Pressure for Cryptocurrency Platforms
On March 29, 2021, the Canadian Securities Administrators (the "CSA") and the Investment Industry Regulatory Organization of Canada ("IIROC" and…
Blake, Cassels & Graydon LLP | Canada | 7 Apr 2021
Canadian Securities Regulators Deliver Bear Hug to Crypto Asset Trading Platforms Operating in Canada
The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) recently published guidance on how…
Fasken | Canada | 17 Jan 2020
New Cybersecurity Incidents Reporting Requirements For IIROC Regulated Investment Firms
Cybersecurity is on everyone's lips as dawn breaks on the new decade. Cyberattacks are becoming more and more frequent, complex and costly for…
McCarthy Tétrault LLP | Canada | 18 Dec 2019
Mandatory Cybersecurity Incident Reporting for IIROC Investment Firms
In November 2019, the Investment Industry Regulatory Organization of Canada (“IIROC”) released new mandatory reporting requirements for cybersecurity…
Borden Ladner Gervais LLP | Canada | 23 Sep 2019
IIROC & MFDA Release Enforcement Reports
Both IIROC and MFDA released their annual enforcement reports at the beginning of summer, which can be found here (IIROC) and here (MFDA). IIROC…
McCarthy Tétrault LLP | Canada | 6 Aug 2019
IIROC Proposes Significant Changes to Continuing Education Rules
The Investment Industry Regulatory Organization of Canada (IIROC) recently published for comment proposed amendments (Proposed Amendments) to its…
