Regulator will issue penalties, without hearings, for minor rule violations
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle
An Ontario court rejected an appeal over IIROC sanctions
New branding would replace existing logos by the end of 2024
A review identified gaps in addressing conflicts associated with proprietary products
SRO panel delayed its decision pending proof of repayment that never came
The proposal would allow for disgorged funds to be paid out to victims of industry misconduct
Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban
Dorothy Sanford, former head of MFDA IPC, heads new investor group
Fines levied against reps last year soared to $7.9 million from $938,000 in 2021