7,836 results found

IIROC levied over $4.5 million against firms and individuals across Canada. In 2014 this number was $3.67 million.

This week the IIROC was the latest market regulatory to release its enforcement activity report for 2015. The enforcement report details the disciplinary action undertaken by IIROC last year.

The Investment Industry Regulatory Organization of Canada has released its 2017 Enforcement Report, indicating that total investigations were down from 2016 but total monetary sanctions were up slightly ...

On July 13, 2017, Investment Industry Regulatory Organization of Canada (IIROC) announced that it has entered into an agreement to enhance its use of Nasdaq's SMARTS technology for market surveillance.

A firm may want to surrender its securities registration in one or more categories in Ontario for a variety of reasons, usually when it ceases or intends to cease conducting registerable activities.

In addition to all of the other records expected to be maintained by registrants, private companies incorporated in Ontario should take note that as of January 1, 2023...

Enclosed is the information circular from the CRA regarding record keeping for charities.

Charity Intelligence Canada (CI) researches and analyzes Canadian registered charities and posts its findings on its publicly-available website.

In early March, a number of registrants were selected by staff at the Ontario Securities Commission to undergo a focused review on their conflict of interest policies and procedures.

The federal government has issued a press release that indicates that "All corporations created under the Canada Corporations Act, Part II need to have completed their transition...

The Honourable Diane Lebouthillier, P.C., M.P., Minister of National Revenue, announced today the winding down of the review by the CRA of registered charities' political activities saying results of the political activities audit program have shown substantial compliance with the rules restricting political activities.

Recent changes introduced in Budget 2012, which have made it tougher for foreign charities to obtain qualified donee status, have resulted in a removal of all organizations that were once on the Canada Revenue Agency's list of foreign charities.

The Canadian Securities Administrators (CSA) have been releasing a number of research reports providing background information on the nature of advice in Canada. On October 2, the CSA released a report on hybrid investing...

It is a shift from the MFDA's historical approach to sanctioning – they previously outlined specific fines and penalties for various offences.

The Honourable Jim Flaherty, Minister of Finance, released a consultation paper on April 26, 2009 seeking views on the potential merits of allowing banks and other federally regulated financial institutions to offer financial leasing for vehicles as well as other household property.

The Canada Revenue Agency has just added four groups of charity webinars to its website ...

One of the most important considerations for M&A purchasers (especially in cross-border transactions) is managing the tax issues.

Advertisements must be truthful.