Dorothy Sanford, former head of MFDA IPC, heads new investor group
Fines levied against reps last year soared to $7.9 million from $938,000 in 2021
The new agency's leadership is dominated by former IIROC personnel
Fees charged to certain accounts didn't match fee agreements
The Canadian regulatory landscape will be fundamentally altered in 2023
CSA and IIROC consider possible reforms amid persistent but unsupported negative perceptions about short-selling
Firm agreed to $100,000 sanction, admitted oversight violations
Proposals include increasing the limit on claims and publishing arbitration decisions
Trade group calls on provincial finance minister to review fund dealer oversight
Provincial regulators finalized recognition orders and interim rules