Canada:
IIROC To Consolidate Enforcement Rules
03 April 2012
Stikeman Elliott LLP
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On March 23, the Investment Industry Regulatory Organization
of Canada (IIROC) released a set of proposed rules
intended to consolidate and rationalize enforcement-related rules
currently contained in the Dealer Member Rules and UMIR. Specifically, the
proposed rules include those respecting investigations,
disciplinary hearings, compliance and registration. Consequential
amendments to UMIR would also be made.
IIROC is accepting comments on the proposals until June 21,
2012. For more information, see IIROC Notice 12-0104.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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