The SRO suspended the firm in 2015
Rep facing discipline is allowed to use IIROC transcript in court case
Commission cuts fine, suspension imposed on rep
Exemptions largely help to accommodate realities of remote working
Proposals would enable the regulation of derivatives trading on exchanges
Proposed rule changes would give SRO staff authority to issue exemptions from certain re-papering requirements
OSC to consider whether IIROC hearing can go electronic
Regulators seek whistleblower tips on short selling ahead of new offerings
CSA, SROs provide guidance on client-focused reforms requirements
Board has three new members