L’Organisme canadien de réglementation du commerce des valeurs mobilières (l’« OCRCVM ») a récemment publié son rapport annuel 2019-2020 (le « rapport »), qui énonce les progrès accomplis par l’OCRCVM au cours de la dernière...more
The Investment Industry Regulatory Organization of Canada (IIROC) has released its Annual Report for 2019-2020 (Report). The Report outlines IIROC’s progress over the last year in increasing enforcement and collection...more
L’Organisme canadien de réglementation du commerce des valeurs mobilières (l’« OCRCVM ») a confié à Deloitte le mandat d’évaluer les avantages et les coûts de son projet de fusion avec l’Association canadienne des fonds...more
The Investment Industry Regulatory Organization of Canada (IIROC) engaged Deloitte to assess the benefits and costs of consolidating the Mutual Fund Dealers Association of Canada (MFDA) and IIROC into a single regulatory...more
The Investment Industry Regulatory Organization of Canada (IIROC) has amended its Dealer Member Rules to require mandatory reporting by dealer members (Dealers) in the event of a cybersecurity incident. The amendments are...more
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
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
The Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) have each released statements of priorities for 2018. Taken together, and in conjunction with...more