Blackmont Capital, Vancouver rep fined for participating in an arrangement with Clarion Finanz
IIROC announces settlement with Paul Ryan Klemke
Firm admits failure to keep risk-adjusted capital above zero
Stoneburg banned for misappropriating funds, forging client signature
Investors can now opt to eliminate cost awards
ABCP hearing had been set to resume in April
Rule changes address relationship disclosure, conflicts of interest, suitability and performance reporting
IIROC reasoning deemed “inadequate”
Industry test scheduled for September
‘Flash crash’ revealed that current rules are not sufficiently clear or transparent