IIROC sanctions against Mauro and Harding total $80,000
Rep engaged in third-party dealings without dealer’s knowledge
Online brokerage fined $150,000
Canadian regulators reviewing electronic trading risks following recent market volatility
Trades in four securities conducted on Thursday have been cancelled or repriced
Ewaniuk fined and suspended for failing in his role as a gatekeeper
Hearing set for May 5
New model would see higher fees for smaller firms, lower fees for large, integrated dealers
Canadian regulators looking for cost effective framework for regulating short sales
Deutsche Bank Securities, Coventree dispute allegations by regulators