Tag: IIROC
The importance of eComms recordkeeping in FinTech
In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.
IIROC and Nasdaq release improved surveillance technology for Canadian trading market
The Investment Industry Regulatory Organization of Canada (IIROC) and Nasdaq have released an improved surveillance technology.
