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News & Press: Latest News

Investment Industry Regulatory Organization of Canada joins EDM Council

Thursday, November 22, 2018  
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Investment Industry Regulatory Organization of Canada (IIROC) is all about protecting investors and supporting healthy Canadian capital markets. It sets and enforces rules to ensure that investors are protected and that Canada’s capital markets operate in a fair and orderly manner. IIROC investigates and prosecutes investment advisors who breach our rules by, for example, misappropriating funds from clients, falsely endorsing client signatures and/or making unsuitable recommendations to investors, commonly seniors and vulnerable investors who suffer significant financial losses as a result of these acts.

For more information: http://www.iiroc.ca/Pages/default.aspx