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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…
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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…
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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…
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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…
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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…
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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…
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Fasken | Canada | 14 Jun 2019

IIROC Provides Guidance on Soliciting Dealer Arrangements

IIROC recently published guidance regarding managing conflicts of interest arising from soliciting dealer arrangements. The guidance elaborates on…
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McCarthy Tétrault LLP | Canada | 1 May 2019

IIROC Advances Two New Forms of Disciplinary Action

In a recent Notice (the 2019 Proposals), the Investment Industry Regulatory Organization of Canada (IIROC) announced that it proposes to move forward…
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Stikeman Elliott LLP | Canada | 4 Apr 2019

CSA and IIROC Signal Balanced Approach to Regulating Crypto Asset Trading Platforms

On March 14, 2019, the Canadian Securities Administrators (“CSA”) and the Investment Industry Regulatory Organization of Canada (“IIROC”) published a…
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Stikeman Elliott LLP | Canada | 4 Apr 2019

CSA and IIROC Signal Balanced Approach to Regulating Crypto Asset Trading Platforms

The CSA and IIROC are seeking to take a thoughtful approach to regulating crypto asset platforms, one that balances regulatory imperatives while…
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