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Company: Investment Industry Regulatory Organization of Canada

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Closeup of mallet being hit on stacked coins at table in courtroom

Richardson GMP advisor recommended an increasingly high-risk investment strategy

  • By: IE Staff
  • December 6, 2018 February 15, 2019
  • 10:30
High angle view of mallet eyeglasses legal book in courtroom

The former CIBC World Markets rep sold clients’s DSC mutual funds early

gavel with $100-bill background

The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings

Bond prices table, fountain pen

IIROC will publish one- and three-month BA rates on its website beginning in January 2019

Gavel and judgement on desk

The majority of respondents said the proposed fines for minor rule violations were too low and should be raised

town streets on the plan

Advisors can see how financial health is distributed in their communities

Toronto skyline from center island

Proposed settlement concern the dealer’s oversight of fee-based accounts

Halifax, Nova Scotia, Waterfront

Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit

closeup of on table in empty corporate conference room

Paul Allison of Raymond James elected chairman

  • By: IE Staff
  • September 26, 2018 February 15, 2019
  • 11:00
Closeup of mallet being hit on stacked coins at table in courtroom

The advisor later admitted to making unsuitable recommendations to clients