The Litigator
The Litigator
AGM :: Affleck Greene McMurtry LLP
THE LITIGATOR
Affleck Greene McMurtry LLP
365 Bay Street, Suite 200  ·  Toronto, Canada
416 360 2800  ·  info@agmlawyers.com  ·  www.thelitigator.ca

IIROC


 

MFDA and IIROC Members vote to amalgamate and form “New SRO”

In a vote held on September 29, 2022, members of the Mutual Fund Dealers Association of Canada (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) voted and passed ... [more] Full article

Securities regulators provide guidance to investors and market participants during COVID-19 pandemic

After an initial sharp downturn in the Spring of 2020, it would appear that the capital markets are the least of most people’s worries during the COVID-19 pandemic. But we ... [more] Full article

Controversy as IIROC proposes merger with MFDA

In a publication released this month titled Improving Self-Regulation for Canadians, the Investment Industry Regulatory Organization of Canada (“IIROC”) has, among other things, proposed a merger of itself with another ... [more] Full article

IIROC guidance highlights limitations on limitation of liability clauses in retail client account agreements

“By signing below, you agree not to sue me.” Not so fast, says Canada’s primary regulator of investment dealers. On October 10, 2019, the Investment Industry Regulatory Organization of Canada ... [more] Full article