Brochure provides directions on how to check the registration status of an advisor
A hearing panel of Investment Industry Regulatory Organization of Canada (IIROC) has fined Interactive Brokers Canada Inc. (IB Canada) for failing to report financial information correctly and keeping inadequate records.The hearing panel accepted a settlement agreement between IIROC staff and IB Canada on June 22.IIROC formally opened an enforcement case file concerning Interactive on June […]
Increased collaboration will benefit investors
Changes give members greater flexibility in designing their compliance systems
A hearing panel of the Investment Industry Regulatory Organization of Canada has permanently banned a Winnipeg options representative for sharing a financial interest in an account with a client.The Investment Dealers Association of Canada formally initiated the investigation into the conduct of James Alexander Percival on Nov. 7, 2006.The violations occurred when Percival was a […]
Regulator seeks comment on survey results
OSC to review decision
BetaPro report aims to eliminate confusion over leveraged ETFs
Igra failed to ensure clients qualified as accredited investors
Many retail clients lost significantly less than did institutions and stock market indices