The director of the OSC's derivatives branch says the "work is almost done"
The relationship with IIROC may change how firms approach OBSI inquiries, a letter says
Firm had been suspended since 2015
Firms must report breaches within three days
The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.
The members will provide the SRO with policy advice
A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging
The procedure was contrary to the order-exposure rule
The SRO is cracking down on dealer agreements with retail investors designed to shield firms from liability
The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients