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The Investment Industry Regulatory Organization of Canada is currently conducting an investigation into the issue, which includes the RBC Dominion Securities advisers involved in the case, Jean Pierre Menard and Serge Leclaire. [18]
Established through the merger of the Investment Dealers Association of Canada (IDA) and Market Regulation Services Inc. (RS) on June 1, 2008, [2] IIROC oversees all investment dealers and trading activity on debt and equity markets in Canada. The organization sets regulatory and investment industry standards and has quasi-judicial powers in ...
Established through the merger of the Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Fund Dealers Association (MFDA) on January 1, 2023, [3] CIRO oversees all investment dealers, mutual funds and trading activity on debt and equity markets in Canada. The organization sets regulatory and investment industry standards ...
All investments carry some degree of risk, but there's a distinct line between a risky investment and a downright scam. Unfortunately, scams are prevalent. According to data from the Federal Trade...
“Investment scams always promise high, unrealistic returns with little or no risk,” McGlynn said. “Remember that if an offer seems too good to be true, the chances of it being true are remote.
The National Registration Database (NRD) is a Canadian web-based database that allows security dealers and investment advisors to file registration forms electronically. (An individual or company in Canada who trades or underwrites securities, or provides investment advice, must register annually with one or more provincial securities regulators.)
The regulator relies on the work of the national self-regulatory organization—the Canadian Investment Regulatory Organization (CIRO)—for most aspects of the regulation of the organization's member firms and their employees. Accountability for securities regulation extends from the securities regulator to the Minister responsible for ...
Numerous unregistered and unlicensed online investment platforms, as well as unlicensed and unregistered individuals and firms, are promoting AI trading systems that make unrealistic claims like ...