Canada IIROC Enforcement
The Canada IIROC Enforcement Sanctions list includes individuals and organizations that have been disciplined by the investment industry regulatory organization of Canada (IIROC). This list serves as a vital resource to ensure that they meet regulatory obligations. It highlights those who have violated securities regulations, including fraudulent activity and ethical breaches.
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822 Entities in Canada IIROC Enforcement
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
RBC Dominion Securities Inc | Company | Oct 23, 2019 | inactive |
RBC Dominion Securities Inc | Company | Jun 23, 2022 | inactive |
National Bank Financial Inc | Company | Nov 17, 2017 | inactive |
National Bank Financial Inc | Company | Aug 22, 2022 | inactive |
National Bank Financial Inc | Company | Dec 6, 2010 | inactive |
First Canada Capital Partners | Company | Apr 3, 2009 | inactive |
Dubin Shane | Individual | Apr 25, 2019 | inactive |
Bateman Scott | Individual | Mar 13, 2014 | inactive |
Newbury Richard Shaw | Individual | Feb 20, 2019 | inactive |
Collias John Anastasious | Individual | Dec 10, 2007 | inactive |
FAQs
Why is compliance with Canada IIROC Enforcement necessary?
Compliance with the Canada Investment Industry Regulatory Organization (IIROC) enforcement rules is essential for several reasons. First and foremost, these regulations are designed to protect investors and ensure fair treatment in the financial markets.
Which companies should comply with Canada IIROC Enforcement?
The Canada IIROC enforcement category applies to investment firms, brokerage companies, and trading platforms. These organizations must comply to ensure they follow financial regulations, maintain trust with clients, and avoid penalties. Compliance helps protect investors and promotes fair trading practices, fostering a stable financial market in Canada. Adhering to these standards is essential for a company's reputation and success.
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