July 09, 2014 11:12 PM ET

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Company Overview of Investment Industry Regulatory Organization of Canada

Company Overview

The Investment Dealers Association of Canada represents the securities industry in Canada. The association regulates the activities of investment dealers in terms of their capital adequacy and conduct of business. Its members include over 190 investment dealers. IDA was founded in 1916 and is headquartered in Toronto, canada with additional offices in British Columbia, Quebec, Nova Scotia, and Alberta.

121 King Street West

Suite 1600

Toronto, ON M5H 3T9

Canada

Founded in 1916

Phone:

416-364-6133

Fax:

416-364-0753

Key Executives for Investment Industry Regulatory Organization of Canada

Chief Executive Officer
Chief Executive Officer
Senior Vice President
Compensation as of Fiscal Year 2014.

Investment Industry Regulatory Organization of Canada Key Developments

Investment Industry Regulatory Organization of Canada Accepts Enforcement Notice Decision in the Matter of Byron Capital Markets Ltd. and Robert Campbell Becher Settlement

On May 29, 2014, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff, Byron Capital Markets Ltd. and Robert Campbell Becher. Byron Capital Markets Ltd. admitted that inadequate disclosure was made in various research reports and Mr. Becher admitted a failure to adequately supervise the activities of a research analyst. Specifically, the following violations were admitted: (a) Between March and August 2010, Robert Campbell Becher failed to adequately supervise the activities of a research analyst, contrary to IIROC Dealer Member Rule 38.1; and (b) From September 2010 to January 2011, Byron Capital Markets Ltd. failed to ensure that adequate disclosure was made in various research reports published by the firm, contrary to IIROC Dealer Member Rule 3400. Pursuant to the Settlement Agreement, Byron Capital Markets Ltd. agreed to the following penalty: (a) A fine in the amount of $24,000. Pursuant to the Settlement Agreement, Mr. Becher agreed to the following penalty: (a) A fine in the amount of $24,000. Byron Capital Markets Ltd. and Mr. Becher also agreed to pay costs in the amount of $1,000 each.

Broadridge Financial Solutions, Inc. Receives Regulatory Approval to Deliver Fund Facts Documents to Investment Industry Regulatory Organization of Canada Dealer Firms

Broadridge Financial Solutions, Inc. announced that it has received regulatory approval to deliver Fund Facts documents to Investment Industry Regulatory Organization of Canada (IIROC) dealer firms. With this approval, Broadridge can deliver 100% of Fund Facts documents either electronically or by print on behalf of dealers well in advance of the June 13, 2014, Canadian Securities Administrators' deadline for Stage 2 of the Point of Sale (POS) regulation (National Instrument 81-101 Mutual Fund Prospectus Disclosure). Broadridge had previously developed the functionality and assisted interested clients in transitioning to Fund Facts under the original early relief rules granted in August 2011. Now with this Early Delivery Approval, every client can take advantage of this without the burden of dealer/fund company acknowledgement letters in order to streamline the process of delivering Fund Facts documents.

IDA Announces Resignation of Barry O'leary as Chief Executive

IDA announced that its chief executive, Barry O'Leary has announced his resignation. He intends to pursue other opportunities after a difficult and demanding few years.

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