Aggregated News From Investment Management Regulators

IIROC CA

Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

IIROC Holds Settlement Hearing For St. Albert Investment Advisor Gordon Albert Malic

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Covid-19 Related Exemptive Relief Applications Received and Exemptions Granted to April 30, 2021

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

In the Matter of Edward Ho Rha – Adjournment

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Request for Comments: IIROC Expert Investor Issues Panel

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Custodial Agreements – April 30, 2021

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

IIROC to Hold Settlement Hearing for Former Regina Investment Advisor James Robert Harris

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

IIROC Begins Disciplinary Action Against Former Newfoundland and Labrador Investment Advisor Joan McCarthy

See the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Housekeeping Amendments to Form 1 for use in, and consistency with the IIROC Rules

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Exemptions Granted by IIROC in 2020

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

IIROC Proficiency Committee – Call for Applications

See the Notice from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

Regulator Information

Recent Articles

Press release on the reopening of trading in Recticel

  ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial...

Press release on the reopening of trading in Cie Bois Sauvage

ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial...

ESAs’ report on the implementation and functioning of the securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets...

ESAs’ report on the implementation and functioning of securitisation regulation

The Joint Committee of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority)

Burma-related Designations; Counter Terrorism Designations

SPECIALLY DESIGNATED NATIONALS LIST UPDATE The following individuals have been added to OFAC's SDN List:  AL-FAY, Ibrahim Ali 'Awad (a.k.a. "Abu Ali al-Samarra'i"), Sakarya, Turkey; DOB...

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