Value of shares down 14%
Comments due by Dec. 16
Regulator will be able to impose conditions on advisor registration at any time
Jurisdiction maintained in review RS decision
A hearing panel of the Investment Industry Regulatory Organization of Canada has fined a B.C. rep and ordered him to repay commissions for failing to properly perform his role as gatekeeper to the capital markets.The violations occurred when Konstantinos Georgakopoulos was a registered representative with the 1177 West Hastings Street Branch of Golden Capital Securities […]
Issues of transparency, liquidity, fairness and information leakage outlined in consultation paper
The Court of Appeal’s decision eliminates the possibility that individuals could avoid discipline for misconduct by quitting their jobs
Firm is now the approved administrator in all provinces and territories except Quebec
Rail engaged in business activities without knowledge, consent of his firm, IIROC finds
Griffin violated equity trading rules