Former BMO Nesbitt Burns rep acted as a portfolio manager without registration
Market volatility improves, credit spreads narrow
Toronto rep failed to to give priority to other client orders in a bond offering
IIROC will now provide all monitoring services to equity marketplaces in Canada using one platform, STEP
Fiera to replace Natcan as sub-adviser of FÉRIQUE Equity Fund
IIROC panel finds former Wellington West rep failed to ensure his recommendations were suitable for his clients
Global equities continue their advance; Canadian equity market lagging global peers
Canada Pacific Consulting targeted German and Swiss investors
New distribution frequency for Manulife Global Infrastructure Fund; Increased trailer fee compensation for two funds
Six-month prohibition from conducting securities related business for Jade Mason