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IIROC President & CEO to delivered keynote speech at National Society of Compliance Professionals (NSCP) March 27, 2014 Toronto regional meeting.
April 29 – CFA Institute Seminar – Future of Finance: How Are Industry Reforms Changing Client Relationships, TMX Broadcast Centre Gallery. Click here to register for this event.
Learn the value of working with a registered advisor. Get help making a complaint and accessing options for resolving disputes. Use our investor tools and resources, including the IIROC AdvisorReport.
IIROC Issues 2013 Enforcement ReportContinued Focus on Seniors and Suitability
April 10, 2014New Policy Priority - Update Report
Effective October 31, 2014President and CEO Susan Wolburgh Jenah to Retire from the Investment Industry Regulatory Organization of Canada (IIROC)
Improving transparency and supervisionIIROC finalizes guidance on use of business titles and financial designations
The servers and applications of IIROC were not, and are not affected by the OpenSSL vulnerability (CVE-2014-0160), referred to as the Heartbleed bug.
Integrity and Confidence in Information & Security