Shamseer made discretionary trades without having account approved as discretionary
IIROC orders Dettelbach to pay $115,000 in fines and costs
Rao ordered to pay $285,000 in fines and costs
Dealers must ensure all methods of communication comply with applicable regulatory requirements and securities legislation
Amendments would allow the appointment of substitute directors for shorter periods
Deficiencies in trade supervision for artificial pricing remedied: IIROC panel
Amendments designed to prevent trade-throughs
Original panel’s reasoning found inadequate
New course combines existing derivatives course and options licensing course
New requirements introduced earlier this month aim to provide investors with an added level of protection