Proposals include increasing the limit on claims and publishing arbitration decisions
Trade group calls on provincial finance minister to review fund dealer oversight
Provincial regulators finalized recognition orders and interim rules
Regulator sets out draft priorities for fiscal 2024
IIROC alleged the rep misappropriated millions from elderly clients
Regulator alleged U.K.-based firm violated prohibition on advice
Review considers doing away with dedicated directors, alternate input mechanisms
Settlement follows violations including overlooking suspicious trading activity
SRO gets green light to help finance initial merger costs
Advisors exploited the firm's inadequate controls, according to a settlement agreement