Panel defers penalties while ex-rep repays clients
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
Approval came nine months after the firm filed its initial application
Collections plunge as hefty sanctions are handed out
New SRO aims to harmonize requirements for fund dealers and investment dealers
CSA and CIRO seek feedback on the SEC's market structure proposals
The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it
JRC report details complaints to OBSI involving mutual fund suitability, low-ball settlements
AMF, provincial government approve delegation of powers to SRO
Fees for investment dealers to rise 6.4%, annual report says