IIROC sanctioned RBC Dominion Securities for failing to include proper order designations (aka "order markers") on numerous order...
CN Editor
July 27, 2022
IIROC GUIDANCE ON PARTICIPANT OBLIGATIONS TO HAVE REASONABLE EXPECTATION TO SETTLE ANY TRADE RESULTING FROM THE ENTRY OF A SHORT SALE ORDER
IIROC LIST OF FLOATING AND TRACKING ERROR MARGIN RATES FOR QUALIFYING CANADIAN AND U.S. INDEX PRODUCTS
IIROC HOUSEKEEPING AMENDMENTS TO FORM 1, PART II - REPORT ON COMPLIANCE FOR INSURANCE, SEGREGATION OF SECURITIES AND GUARANTEE/GUARANTOR RELATIONSHIPS RELIED UPON TO REDUCE MARGIN REQUIREMENTS DURING THE YEAR
IIROC LIST OF FOREIGN EXCHANGE (FX) SPOT RISK MARGIN RATES FOR CANADIAN AND U.S. BASE CURRENCY ACCOUNTS
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IIROC FINES CANACCORD GENUITY CORP.
IIROC BANS, FINES FORMER ADVISOR $1 MILLION
NEW GOVERNANCE STRUCTURE TAKES EFFECT AT OSC
MUJAHID ALI SYED AND SANJIV KATYAL CHARGED WITH SECURITIES FRAUD TARGETING MEMBERS OF THE PAKISTANI-CANADIAN COMMUNITY