IIROC Members

  1. List of IIROC Dealer Members by Peer Group September 2020 1 INTEGRATED 3 RETAIL ‐ TYPE 1 & 2 INTRODUCERS 5 ORDER EXECUTION ONLY BMO Nesbitt Burns Inc.* Argosy Securities Inc. (formerly Discount Brokers) CIBC World Markets Inc. * Brant Securities Limited AGF Securities (Canada) Limite
  2. istrators
  3. IIROC Advisory Committees; Industry. Improving Self-Regulation for Canadians; COVID-19; Registration & Membership; Rule Book; Industry Compliance; Enforcement; Whistleblower Service; Market Monitoring & Analysis; Policy; Continuing Education; Member Resources; Dealers We Regulate; Cybersecurity; Enabling the Evolution of Advice in Canada; Client Identifiers; Investor
  4. IIROC members IIROC oversees almost everyone selling, buying, or brokering investments in the country. All investment firms are required to be members of IIROC, which maintains a list of dealers it regulates and maintains a database where you can check to see if your advisor has ever been disciplined
  5. Effective January 1, 2017, Dealer Members must include the IIROC logo and a link to the IIROC website, www.iiroc.ca, on the Dealer Member's homepage or, where the Dealer Member website or web presence is part of a combined financial institution group website, on the main page for the Dealer Member
  6. The IIROC Rules provide a clear, organized and modernized rewrite of IIROC's existing Dealer Member Rules in plain language, and incorporate the Consolidated Rules and Continuing Education Rules. The IIROC Rules will govern the activities of investment firms and, together with IIROC's existing Universal Market Integrity Rules (UMIR), comprise.
RBS/Connect - Robson Capital Management Inc

Bloomberg the Company & Its Products The Company & its Products Bloomberg Terminal Demo Request Bloomberg Anywhere Remote Login Bloomberg Anywhere Login Bloomberg Customer Support Customer Suppor The Investment Industry Regulatory Organization of Canada is a non-profit, national self-regulatory organization. Established through the merger of the Investment Dealers Association of Canada and Market Regulation Services Inc. on June 1, 2008, IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada. The organization sets regulatory and investment industry standards and has quasi-judicial powers in that it holds enforcement hearings and has. IIROC carries out its regulatory responsibilities under Recognition Orders from the provincial and territorial securities regulatory authorities that make up the Canadian Securities Administrators (CSA). IIROC is subject to oversight and regular operational reviews by CSA members With this new group of diverse members, IIROC will continue its work assessing how our regulatory requirements might be best tailored for crypto-assets, said Pinnington. The Crypto-Asset Working. The ADR Chambers Investment Industry Regulatory Organization of Canada (IIROC) arbitration program provides IIROC member firms and their clients with an alternative to litigation to resolve their disputes in Ontario, Newfoundland and Labrador, Nova Scotia, Prince Edward Island, New Brunswick, Manitoba, Saskatchewan, Alberta, British Columbia, Yukon, Northwest Territories, and Nunavut

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The Crypto-Asset Working Group members are: Frank Barillaro (The Everton Carlisle Group Inc.) Brandon Boyd (Questrade Inc.) Torstein Braaten (Instinet Canada Ltd The PLR Rule Book subsection 1404 (2) contains the general requirement for Dealer Members to establish, maintain and apply written policies and procedures that establish a system of controls and supervision sufficient to provide reasonable assurance the Dealer Member, its employees and Approved Persons comply with IIROC requirements Rule. A Dealer Member must disclose to its clients that it is regulated by IIROC in accordance with the requirements set out in the IIROC Membership Disclosure Policy. 2286. -2299. Reserved. Guidance/Notices. There are no related Guidance/Notice documents available for this section. History

IIROC Announces New Members of Crypto-Asset Working Group. The Investment Industry Regulatory Organization of Canada (IIROC) announced today the new members of its Crypto-Asset Working Group. The. The District Council shall make a recommendation to the Board to: approve an application for Dealer Member Membership in IIROC made pursuant to section 3.5 of General By-law No. 1, Membership approval applications | IIROC IIROC members also will be required to comply with new IIROC rules proposed to implement the Client Relationship Model (CRM), which is a related parallel initiative of the Canadian securities.

All IIROC Directors are responsible for ensuring that IIROC serves the public interest in protecting investors and market integrity, by articulating and ensuring it meets a clear public interest mandate for its regulatory functions. Seven of IIROC's 15 Directors are Independent Directors who are not affiliated with an IIROC member About IIROC IIROC is the national self-regulatory organization which oversees all investment dealers and their trading activity in Canada's debt and equity markets. IIROC sets high-quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets All IIROC brokers are required to set a limit of 18:1. This is a much lower figure than the margin limits currently in place in the USA. It means that Canadian brokers tend to attract clients with much larger amounts to invest. The provincial regulators also have their own requirements, in addition to being IIROC members Simply put, our mandate is to develop and deliver education programmes to the Compliance and Legal professionals employed by IIROC's member firms. Generally, we organize and provide 3 breakfast seminars, 1 golf tournament, and 1 full-day Annual Conference each year. We strive to provide sessions covering information that is both timely and informative for both our large and small member firms. IIROC Announces New Members of Crypto-Asset Working Group. PRESS RELEASE PR Newswire . Mar. 29, 2021, 11:53 AM. Pan-Canadian self-regulator continues to deepen its understanding of crypto-assets

Dealers We Regulate - IIRO

IIROC | Andrea Zviedris | Oct 31, 2019. Pan-Canadian self-regulator takes steps to deepen its understanding of crypto assets . October 31, 2019 (Toronto, Ontario) - The Investment Industry Regulatory Organization of Canada (IIROC) today announced the members of its new Crypto-Asset Working Group.Chaired by Victoria Pinnington, IIROC's Senior Vice-President, Market Regulation, this group of. Dealer Members must use the IIROC Logo to satisfy all IIROC membership disclosure requirements set out in this policy. Specifically, a Dealer Member must include the IIROC Logo and a link to the IIROC website (i.e IIROC Notice 09-0327 - Administrative Notice - General - Industry-wide testing of IIROC Members' business continuity plans (BCPs) 2 Broadridge BPS, Broadridge Dataphile, Belzberg, IRESS, R, TSX and TSX-V, the Bourse

This prohibition is consistent with IIROC staff's view that any personal financial dealing with clients creates an unacceptable conflict of interest between the Dealer Member's employee or agent and the client and as such, it is contrary to both the standards set out in IIROC Dealer Member Rule 29.1 as well as the conflict of interest rules set out in IIROC Dealer Member Rule 42 and National. IIROC Dealer Member Rule 29.28 (IIROC Rule 2284 as of December 31, 2021) requires member firms to disclose to their customers, in accordance with the CIPF Disclosure Policy, membership in CIPF and the coverage available IIROC plans to use these reports to share general cybersecurity incident information and the specific nature and risk of certain incidents with the Dealer Member community. IIROC specifically notes that it will not disclose the names of the Dealer Members that have reported cybersecurity incidents to other Dealer Members or the public, and that it will anonymize any information The sources for this data are individual secondary market trades reported by IIROC Dealer Members, marketplaces and inter-dealer bond brokers subject to IIROC Dealer Member Rule 2800C, and banks that are currently reporting their debt transactions to the MTRS 2.0

(i) IIROC members and others subject to IIROC's jurisdiction, or (ii) the capital markets generally including, for greater clarity, certain stakeholders or sectors. The notice required by this section, other than in (d), may be provided by IIROC issuing a public notice containing the information, provided that such public notice will be issue IIROC Announces New Members Of Crypto-Asset Working Group. Pan-Canadian self-regulator continues to deepen its understanding of crypto-assets . TORONTO, March 29, 2021 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) announced today the new members of its Crypto-Asset Working Group.. The announcement of the new Crypto-Asset Working Group members builds off of today. Stikeman Elliott LLP; 1155 René-Lévesque Blvd. West; 41st Floor; Montréal, Quebec H3B 3V2 Canad

Investment Industry Regulatory Organization of Canada (IIROC

In addition, IIROC regulations require that those who have specific roles within the member firms (all securities firms are IIROC members), such as portfolio management or supervisory roles such as branch management, meet defined educational and work experience criteria. Mutual Funds Dealer Association (MFDA) The Investment Industry Regulatory Organization of Canada (IIROC) announced today the new members of its Crypto-Asset Working Group IIROC Notice 08-0231 - Procedure for Foreign Offices of IIROC Members. 2 . carried on at that office, pursuant to the laws of the jurisdiction in which the office will be located; (b) In the case of a proposed sub-branch, evidence that the proposed sub-branc IIROC, to keep up. It is equally clear that IIROC's strategy is the right one for this time. It has been battle-tested by rapidly changing expectations of investors, by changes in the business models, products and services offered by our members, by unprecedented market volatility and by the operational, regulatory and management demand

Wealth Management Analyst (Ottawa Office) | PWL Capital

The Investment Industry Regulatory Organization of Canada (IIROC) today posted a brief notice on its website, informing the public that Timber Hill Canada has resigned from its IIROC membership.. The resignation is effective March 27, 2020. In September 2019, FinanceFeeds reported that Timber Hill Canada intends to abandon its IIROC membership The following issues have been halted by IIROC: Coinbase (COIN) is the leading global cryptocurrency trading platform, boasting of 50 million current members and numerous cutting-edge. Advisors who are currently approved to work at an IIROC-regulated firm are listed in the IIROC AdvisorReport. The report lets the public research an advisor's current approval status (and any terms and conditions on that status), current categories of IIROC approval, employment history with IIROC-member firm(s) since 2003, educational background, and disciplinary record with IIROC IIROC will also implement its new plain-language rulebook at the end of 2021, along with the full CFR requirements. The simultaneous implementation of these two major initiatives will entail a significant amount of preparation on the part of member firms as well as IIROC, it said The Restricted Dealer Member concept proposal elicited comments from a number of IIROC Dealer Members, industry associations, and an investor representative group. We heard strong views on almost every aspect of the concept proposal, including the specific consultation questions included i

The Investment Industry Regulatory Organization of Canada (IIROC) has extended its vigilance over the cyber security posture of its Dealer Members by introducing mandatory cyber breach reporting.On November 14, 2019, IIROC released Rules Notice 19-0194 in which it advised that the Canadian Securities Administrators (CSA) had approved changes to IIROC's Dealer Member Rules and Rule Book Irene Winel, senior vice president of member regulation and strategy at IIROC, said, We want to build on what's already working. For instance, a key difference between the two regimes — the ability of fund reps to flow their commissions through personal corporations — would be preserved under the combined SRO Thanks for choosing Wealthsimple! If you work at an IIROC firm and they require duplicate statements and/or trade confirmations, your employer's compliance department will need to send us a Compliance Letter stating that they are aware that you hold fully managed discretionary accounts with Wealthsimple.They can indicate that they require duplicate statements and trade confirmations on this.

What is IIROC? Wealthsimpl

  1. Members of the public who would like to attend the hearing may contact IIROC's National Hearing Coordinator at NHC1@iiroc.ca in advance of the hearing to obtain further details
  2. Members of the public who wish to attend must contact IIROC's National Hearing Coordinator at NHC1@iiroc.ca for more information. Appearance Date: The disciplinary hearing will be held by.
  3. IIROC's regional roots run deep. IIROC's District Councils and policy consultative committees offer insight and invaluable input. Self-regulation helps to ensure that policies and rules keep pace with evolving markets through consultation with industry participants who are confronted by change on a daily basis

Specialized arbitration procedure for disputes arising between the members of IIROC and their clients Foreword. This specialized arbitration procedure, is applicable to the disputes described in Sections 1 to 3 below, and if need be, is supplemented by The General Commercial Arbitration Rules (GCAR) of the Canadian Commercial Arbitration Centre (Centre ) Similarly, IIROC requirements may not fit with all the models of CTPs and the Notice recognizes that some accommodation of IIROC rules to the business model will have to be discussed with the IIROC membership applicant. The Notice recognizes that CTPs reflect a range of business models and on the surface welcomes innovation

Membership Disclosure - IIRO

On March 31, 2020, the Investment Industry Regulatory Organization of Canada (IIROC) approved exemptive relief relating to hardships dealer members are experiencing in complying with IIROC Dealer Member Rules (DMRs).The relief relates to client document approvals, timelines for reporting, audit procedures, pre-approval requirements and supervision requirements, among others f. IIROC must publish concurrently in English and French each document issued to the public or generally to any class of members. g. IIROC must adopt policies and procedures designed to ensure that confidential information about its operations or those of any Dealer Member, Marketplace Member or marketplace participant i Significantly, once implemented, there will no longer be 'hard and fast' rules for setting fines against members found to have violated IIROC's Dealer Member and UMIR rules: the Revised Sanction Guidelines did away with the minimum fine requirements and/or prescribed fine ranges set out under the previous sanction guidelines in favour of a principle-driven approach Market Dealers, or in some cases, restricted dealers, to IIROC membership. Migration to the IIROC platform will require these firms to surrender their Exempt Market Dealer (EMD) or restricted dealer registration as the case may be and apply for investment dealer registration under provincial securities law as well as seek IIROC membership The Investment Industry Regulatory Organization of Canada (IIROC) has published a brief notice on its website announcing that Clearpool Execution Services (Canada) Limited has resigned from membership in IIROC. The resignation is effective May 28, 2020. The announcement is barely surprising, given that in March 2020, IIROC said it had been informed that Clearpool's intention to resign its.


A password will be e-mailed to you. Privacy Policy. Password recover IIROC's Board is comprised of 15 Directors, including IIROC's President and CEO Andrew Kriegler, with an even number of Independent and Industry (Marketplace or Dealer Member) Directors

SROs Deploy Advanced Tech to Keep Up with Members

IIROC Announces New Members of Crypto-Asset Working Group

  1. Investment Industry Regulatory Organization of Canada - IIROC: The governing authority for all debt and equity markets, investments and investment broker s, dealers and providers in Canada. The.
  2. The new IIROC Membership Disclosure Policy is designed to raise public awareness about which investment firms and individuals are regulated by IIROC, and the requirements and ethical and.
  3. IIROC Members Approve Board of Directors (Canada Newswire Via Acquire Media NewsEdge) Board Re-Appoints Chair M. Marianne Harris TORONTO, Sept. 10, 2014 /CNW/ - At the Annual General Meeting (AGM) of the Investment Industry Regulatory Organization of Canada (IIROC) held in Toronto, Ontario on September 9, 2014, member firms re-elected individuals to the IIROC Board of Directors
  4. Within two years, these platforms will have to become members of IIROC if they provide services to retail investors, which most of them do. In the past,.
  5. isters them
  6. You must have a customer account at a CIPF Member in order to be eligible for CIPF protection. Review the list below to see if you are dealing with a CIPF Member. Can't find your investment dealer? Our Members sometimes use marketing names that differ from the legal entity names

B2B Bank is a Schedule I Canadian bank that serves a network of some 27,000 financial professionals across key business verticals including: financial advisors and their dealerships; deposit and mortgage brokers and their firms; mutual fund and insurance manufacturers; MFDA and IIROC members The Ontario Securities Commission has approved proposed amendment to remove the risk component of IIROC's Dealer Member Fee Model (Amendment). The Amendment was published for comment on December 17, 2020 and no comments were received. The effective date for the Amendment is April 1, 2021

Governance and Internal Controls - Wealth Management | PWLinvestor Archives - The Industry Spread

Investment Industry Regulatory Organization of Canada

  1. Members ; Do you need IIROC Compliance CE Credits? Do you need IIROC Compliance CE Credits? To help you understand the protection CIPF provides so that you can comfortably discuss it with your clients, information about CIPF coverage is set out in the Continuing Education module Overview of Canadian Investor Protection Fund (CIPF)
  2. Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Blanket OrderDocument No: 31-509Subject: Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firmsEffective Date: September 28, 2010 Blanket Order 31-50
  3. This system is for use by IIROC dealer members only Canadian Financial from FINA 32424 at Sheridan Colleg
  4. IIROC says between August 2000 and March 2019, McCarthy was registered as a representative employed with MD Financial at its St. John's branch. McCarthy appropriated the funds by obtaining, without client authorization, cheques drawn on their accounts, which she then deposited to her own personal bank account by falsifying their signatures, the statement of allegations claims
  5. IIROC oversees more than 170 investment firms and is recognized by all 13 provinces and territories, while the MFDA, which oversees about 90 member companies, is recognized by eight provinces

Notices and Guidance IIRO

IIROC can make a decision to impose a temporary suspension (halt) of trading in a security of a publicly-listed company. Trading halts are implemented to ensure a fair and orderly market. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on. IIROC CEO Andrew J. Kriegler in 2015. Photo by Peter J. Thompson/National Post files Article content. The Investment Industry Regulatory Organization of Canada is proposing to merge with the Mutual Fund Dealers Association, a move IIROC says would reduce duplication and save millions of dollars that could instead be invested in growth and innovation in the investment industry Failure to do so could result in CSA members pursuing enforcement action. In 2019, the CSA and IIROC published Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms , which outlined a proposed regulatory framework for CTPs, and solicited comments to better understand the industry, its risks and how regulatory requirements may be tailored At the annual general meeting (AGM) of the Investment Industry Regulatory Organization of Canada (IIROC) held in Toronto on September 9, member firms re-elected individuals to the IIROC board of directors. As a result there are no changes to the IIROC board Search 80 Iiroc Member jobs now available in Toronto, ON on Indeed.com, the world's largest job site

IIROC Announces New Members of Crypto-Asset Working Grou

IIROC consulted with IIROC Dealer Members (Dealers), its advisory committees, the CSA and considered the comments received in response to the CSA's Staff Notice and Request for Comment, when drafting the guidance Today's top 520 Iiroc jobs in Canada. Leverage your professional network, and get hired. New Iiroc jobs added daily Members of @newsfile/iiroc-trade-halt-global-energy-metals-corporation Moderators. Members. by @newsfile on 28 Apr 2017, 13:18 IIROC Trade Halt - Global Energy Metals Corporation. Vancouver, British Columbia--(Newsfile Corp. - April 28. TORONTO, Nov. 14, 2018 /CNW/ - On November 2, 2018, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and TD Waterhouse Canada Inc.. TD Waterhouse Canada Inc. admitted failing to adequately supervise its former employee, David Gary Durno (Durno) - contrary to Dealer Member Rules 38.1 and. IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. - 30 - For further information: IIROC Inquiries 1-877-442-4322 (Option 3) - Please note that IIROC is not able to provide any additional information regarding a specific trading halt

Investment Industry ADR Chamber

VANCOUVER, Oct. 8, 2019 /CNW/ - On September 18, 2019, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC Staff and Alykhan Kassam Members of @newsfile/iiroc-trade-halt-fieldex-exploration-inc Moderators. Members. by @newsfile on 6 Jun 2017, 16:56 IIROC Trade Halt - Fieldex Exploration Inc. Vancouver, British Columbia--(Newsfile Corp. - June 6, 2017.

IIROC Dealer Member Plain Language Rule Book

Members of @newsfile/iiroc-trade-halt-virginia-hills-oil-corp Moderators. Members. by @newsfile on 13 Feb 2017, 08:46 IIROC Trade Halt - Virginia Hills Oil Corp. Vancouver, British Columbia--(Newsfile Corp. - February 13.

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