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2019 Legal Trends: Complex Disputes

As part of our quarterly series on current trends across different industries, our second article for 2019 explores litigation developments in Canada, outlining the impact on business and the potential ramifications of recent...more

IIROC Making Fine Progress in Monetary Collection Efforts

The Investment Industry Regulatory Organization of Canada (IIROC) recently released its Annual Enforcement Report (Report), which highlights IIROC’s efforts to increase its rate of collection on monetary fines, including...more

Choose Your Own Adventure: IIROC Requests Input on Enforcement Alternatives

The Investment Industry Regulatory Organization of Canada (IIROC) is engaged in a three-year strategic plan to expand its portfolio of enforcement options. As part of this initiative, IIROC has proposed two potential new...more

2/28/2018  /  Canada , Enforcement Actions , IIROC , Investors

Investment Industry Regulatory Organization of Canada Sets Priorities for 2018

The Investment Industry Regulatory Organization of Canada (IIROC) has released its priorities for 2018 (Priorities). The Priorities address issues related to policy development, enforcement and IIROC’s general supervisory...more

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