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 |
|---|---|---|---|
Morgan Wilshire Securities Canada Inc | Company | Jan 29, 2009 | inactive |
Penson Financial Services Canada Inc | Company | Aug 6, 2014 | inactive |
Penson Financial Services Canada Inc | Company | Sep 8, 2011 | inactive |
Penson Financial Services Canada Inc | Company | Feb 4, 2013 | inactive |
National Bank Direct Brokerage Inc | Company | Oct 21, 2010 | inactive |
Canaccord Financial Ltd | Company | Dec 21, 2009 | inactive |
Laurentian Bank Securities Inc | Company | Jul 11, 2012 | inactive |
Laurentian Bank Securities Inc | Company | Jan 17, 2017 | inactive |
Laurentian Bank Securities Inc | Company | Feb 14, 2020 | inactive |
Leede Financial Markets Inc | Company | Aug 24, 2015 | 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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