Enforcement Notice - Clarification - Decision - IIROC Clarification re: Enforcement Notice 15-0109

TORONTO, May 12, 2015 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) issued an Enforcement Notice on May 11, 2015 sanctioning a firm by the name of Independent Trading Group (ITG) Inc.   Please note that Independent Trading Group (ITG) Inc. is not in any way related to or affiliated with ITG Canada Corp.

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IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc., IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.

IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

SOURCE Investment Industry Regulatory Organization of Canada (IIROC) - General News

Related Links

http://www.iiroc.ca