David Di Paolo, Cait Sainsbury

The Enforcers

Last year was a busy one for securities regulators. As the credit market—and subsequently the economy—collapsed, they faced public pressure to take aggressive action against risky investments and Ponzi-like schemes that left many investors holding the bag. In Canada, the Investment Industry Regulatory Organization of Canada (IIROC) bore the same pressures as its global counterparts—pressures […]

By David Di Paolo, Cait Sainsbury |July 12, 2010

7 min read

Industry

The IIROC enforcers

Last year was a busy one for securities regulators. As the credit market – and subsequently the economy – collapsed, they faced public pressure to take aggressive action against risky investments and Ponzi-like schemes that left many investors holding the bag. In Canada, the Investment Industry Regulatory Organization of Canada (IIROC) bore the same pressures […]

By David Di Paolo, Cait Sainsbury |June 28, 2010

7 min read