New SRO aims to harmonize requirements for fund dealers and investment dealers
The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it
Fees for investment dealers to rise 6.4%, annual report says
Proposal revises conservative approach initially sought by IIROC
Commission structures, account transfer standards and dual registration are all in the works
Regulator will issue penalties, without hearings, for minor rule violations
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle
An Ontario court rejected an appeal over IIROC sanctions
New branding would replace existing logos by the end of 2024
A review identified gaps in addressing conflicts associated with proprietary products