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.
Mitigate risk with our comprehensive screening solutions for your AML and sanctions compliance.
822 Entities in Canada IIROC Enforcement
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
Jenkins Dean Martin | Individual | Feb 28, 2020 | inactive |
Locke Shirley | Individual | Jul 3, 2019 | inactive |
Beland Alain | Individual | Nov 16, 2010 | inactive |
Squires Clark Alexander | Individual | Sep 21, 2010 | inactive |
Bereskin Michael Jeffrey | Individual | Aug 27, 2010 | inactive |
McKimm Malcolm | Individual | Aug 19, 2010 | inactive |
Rada Marcel Anil | Individual | Apr 18, 2011 | inactive |
DiCostanzo Neil | Individual | Dec 11, 2020 | inactive |
Smith Kenneth Edward | Individual | Nov 23, 2017 | inactive |
Poirier Richard | Individual | May 13, 2016 | 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.
APIs
Data License
Solutions
Pricing
All rights reserved | Terms of use Copyright ©2025 Trademo Technologies Inc.