But the total number of decisions rendered by IIROC hearing panels against both firms and advisors increased year-over-year
Focus is on enhanced testing, compensation-related conflicts
The firm admitted it failed to prevent the double charging of clients who held mutual funds that paid embedded fees within fee-based accounts
The court found that IIROC did not have to turn over more information about trading in the shares of Concordia International
Each party has different roles and responsibilities, and different regulatory obligations, to the client
The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
Planned BCP test to coincide with test in the U.S.
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement