Canada IIROC - Investor Alerts List
The Investment Industry Regulatory Organization of Canada (IIROC) issues investor alerts to inform the public about potential risks and scams in the investment market. These alerts provide timely updates on fraudulent schemes, unregistered investment entities, and other activities that could harm investors.
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95 Entities in Canada IIROC - Investor Alerts List
| Entity Name | Entity Type | Effective Date | Status |
|---|---|---|---|
IB Platform | Company | May 8, 2023 | inactive |
EliteSFXcom | Company | Dec 23, 2021 | active |
Liquidityswap | Company | Jun 3, 2022 | inactive |
Safe Holdings | Company | Apr 27, 2023 | inactive |
Cryptlogger | Company | Aug 13, 2021 | inactive |
InteractiveBrokeragenet | Company | Dec 6, 2021 | active |
Joint statement from the CSA and IIROC on the Recent Market Volatility | Company | Feb 1, 2021 | inactive |
Be aware of fraudsters misrepresenting themselves | Company | Aug 14, 2024 | active |
Advisor Impersonation Schemes | Company | May 24, 2023 | active |
Beware of Fake Financial Websites Trying To Steal Your Money | Company | Jul 27, 2021 | inactive |
FAQs
Why is compliance with Canada IIROC - Investor Alerts necessary?
Compliance with the investor alerts issued by the Investment Industry Regulatory Organization of Canada (IIROC) is essential for several reasons. First and foremost, these alerts serve as important warnings regarding potential risks or issues in the investment sector. They highlight fraudulent schemes, emerging threats, and unregistered entities that could jeopardize clients' investments.
Which companies should comply with Canada IIROC - Investor Alerts?
Companies in the investment industry, including brokerage firms, investment advisors, and mutual funds, must comply with IIROC's investor alerts. These alerts aim to protect investors from potential fraud and misconduct. By following these guidelines, firms ensure they meet regulatory standards, safeguard their reputation, and promote trust with clients, ultimately supporting a fair and transparent market environment.
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