IIROC Adopts Early Resolution Offers - Program Encourages Timely Resolution Of Cases To Enhance Investor Protection
IIROC Adopts Early Resolution Offers - Program Encourages Timely Resolution Of Cases To Enhance Investor Protection Date 08/04/2021 The Investment Industry Regulatory Organization of Canada (IIROC) has announced that it is adopting the use of Early Resolution Offers effective immediately. As part of IIROC's three-year Strategic Plan, IIROC sought new ways for Enforcement to address wrongdoing in a fair and proportionate manner. In 2018, IIROC launched a public consultation on two new disciplinary options to address minor rule infractions and more timely resolution of disciplinary c...
Source: mondovisione.com