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  1. Canadian Press
    ‘Pee Wee’ Smith banned for eight years
  2. IE Staff
    Upcoming regulatory deadlines of interest to financial advisors. Updated weekly.
  3. Fiona Collie
    IIROC panel finds rep made unsuitable recommendations, unauthorized trades
  4. James Langton
    Nine U.S. investor and consumer groups urge improved transparency about mandatory arbitration for investors
  5. James Langton
    The goal is to improve transparency and regulatory oversight of the OTC derivatives markets
  6. James Langton
    Panel orders permanent market ban for fraud
  7. James Langton
    Fund dealers that sell the securities must also be licensed as mortgage brokerages
  8. James Langton
    Panel dismisses insider trading charge
  9. James Langton
    IIROC says its requirements to report fees and performance are generally consistent with the CSA’s CRM2 amendments
  10. Alan Husdal
    Investors U.S. Dividend Registered Fund and Allegro Income Balanced Portfolio Class