See the Rules Notice published by the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link
Know-your-client and suitability determination for retail clients
Regulator Information
Regulator Name: Investment Industry Regulatory Organization of Canada
Abbreviation: IIROC
Jurisdiction: Canada
Email: [email protected]
Recent Articles
Tarcord Bank
We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...
Remittance Order issued in RC No. 5983 of 2022 drawn against Pushpa Asoolal Bissa (PAN: BGXPB6906Q) in the matter of Greencrest Financial Services Limited.
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
Read more
Remittance Order issued in RC No. 5984 of 2022 drawn against Sarita Pradip Bissa (PAN: BGLPB8816M) in the matter of Greencrest Financial Services Limited.
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
Read more
Remittance Order issued in RC No. 6046 of 2022 drawn against Dinesh V Makwana (PAN: ANOPM9543M) in the matter of Sterling International Enterprises Limited.
This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:
Read more
