Investment watchdog gets more teeth

by Derek Neary - November 12, 2018

Investment advisers who don’t serve their NWT clients’ best interests may now be taken to court by the Investment Industry Regulatory Organization of Canada (IIROC) to collect fines. The GNWT recently granted IIROC the legal authority to use the territory’s Supreme Court to go after investment advisers who face financial penalties. “We are now in…

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