FINRA and IIROC announce cooperation agreement
Felix Shipkevich - July 27, 2009Under the new cooperation agreement, FINRA and IIROC will share information on compliance and enforcement related matters, and work together on issues related to firm oversight and examinations.
FINRA and IIROC warn about leveraged and inverse ETFs
Felix Shipkevich - June 11, 2009FINRA and IIROC remind firms of their sales practice obligations with regards to leveraged and inverse ETFs. ETFs that are designed to achieve investment objectives on a daily basis may not be suitable for many investors, and should not be marketed as if they were designed to positively or negatively track an underlying index or [...]
IIROC Updates
Felix Shipkevich - October 20, 2008October 20, 2008: in light of the recent volatility of the CDN dollar exchange rates, effective October 29, 2008, the following spot risk margin rate applies until further notice: New Zealand Dollar versus U.S. Dollar from 5.00% to 6.80%
http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=5838D76436234C94A0FBEAA4B7016189&Language=en
IIROC Updates
Felix Shipkevich - October 20, 2008October 20, 2008: in light of the recent volatility of the CDN dollar exchange rates, effective October 23, 2008, the following spot risk margin rate applies until further notice: Norway Krone versus Canadian Dollar from 3.00% to 4.10%
http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=CD92ED951DF14BE1ADEE52D9FCE2886D&Language=en
IIROC Updates
Felix Shipkevich - October 17, 2008October 17, 2008: in light of the recent volatility of the CDN dollar exchange rates, effective October 21, 2008, the following spot risk margin rate applies until further notice: Sweden Krona versus Canadian Dollar from 3.00% to 3.40%
http://docs.iiroc.ca/DisplayDocument.aspx?DocumentID=CB376A73AE3C455FA651EAB4DFCC2F58&Language=en
