The measure aims to ensure that reps have adequate training and proficiency when they deal in products, such as ETFs
Second quarter results were the worst in at least a decade, with total operating profit down almost 60% from the previous quarter
Court affirms SRO’s jurisdiction to pursue wrongdoers who have left the industry
Panel decision based on appropriate principles, OSC says
Panel finds four instances of inadequate supervision
Dass decision contradicts Taub ruling
Buskell dealt permanent ban
Date for penalty hearing pending
IDA, RS combine to form Investment Industry Regulatory Organization of Canada
Urges IDA to adopt a flexible approach to performance reporting requirements