Changes would affect rules dealing with suitability, sales practices and complaint handling
Commission to review IIROC decision
Squires agrees to pay $20,000 fine for UMIR violation
Voncina suspended for 15 months
STEP allows regulator to conduct cross-market surveillance; IIROC plans to build capacity to 1 billion messages per day
AdvisorReport, IIROC’s new web page, could help good advisors promote their clean records; but some have reservations
Steinhoff sanctioned for instructing staff to create false documents
Kwok agrees to pay $18,000 in fines and costs
Dean agrees to pay $40,000 in fines and costs
Dealers should provide reps with guidance on the use of stop loss orders