SRO to expand former MFDA project to all dealers in 2024
Regulators found firms are failing to identify and manage conflicts in clients' best interests
The CSA and CIRO will consider such awards a compliance issue
Report on industry conflicts to be published soon with CSA, CIRO
Former Scotia Capital rep sanctioned in settlement with CIRO
Firm admitted to serving retail investors before SRO approvals, systems in place
Proposal revises conservative approach initially sought by IIROC
CIRO proposes to focus on exams instead
Gravitas Securities suspended after repeated shortfalls, failure to file financials
CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading