Exec failed to disclose dealings, dealer ignored red flags, SRO alleged
Effort to gain insight on dealers' clients will seek data from year-end 2026
Actions represented a "serious" conflict of interest, panel says
SRO details its policy priorities for fiscal 2026
Provincial regulator orders case returned to the SRO to be reconsidered
Former Assante rep agrees to ban, $2.3 million in sanctions
Rep lost money alongside clients in unapproved outside investment
All provinces expected to join effort to curb duplication, burden
SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project
CIRO plans to facilitate voluntary participation in federal open banking effort