Not responding will result in a much harsher penalty
The reduced reporting deadline for debt transactions won't take effect until April
The organization beefed up its authority in five provinces and three territories
Rep recommended and implemented extensive margin use for two retired clients
New system to enhance SRO's ability to detect possible market abuse
SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
The changes are to be phased in over two years, starting later this year
Report flagged only three "low priority" issues