Acts in furtherance of a trade violated securities rules
Firm was alerted to $1 million in missed grants by government review
Self-regulatory organization consults on proposed disgorgement distribution policy
Approval regime, proficiency are among areas covered in latest consultation
Scotia-backed firm will launch this month with 70% Indigenous ownership
Regulator details vision for retail funds that hold long-term assets
Self-regulatory organization aims to harmonize with CSA's revised requirements
CIRO settles with firm over failure to question suspicious trading activity
CIRO must get on with the enforcement proceeding, if that's what it intends to do
Block trade in interlisted stock was executed off-exchange without regulatory approval