M Partners sanctioned a second time for audit trail deficiencies
Trading volume and value across all Canadian marketplaces declined for the Q1 2018
The MRAC provides advice to IIROC staff about possible changes to trading rules, guidance and other market regulation issues
The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry
Robert Sole took a job with a proprietary trading firm while suspended, violating the terms of a 2016 settlement agreement
The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry
The legislation will boost the ability of self-regulatory organizations to carry out their mandates
Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation
Legislation protects SRO against malicious lawsuits
IIROC’s plans have been criticized by industry and investors advocates