Henry Sojka, who was an advisor with now-defunct Union Securities, also failed to co-operate with IIROC’s investigation into his actions
Ensuring that clients come first can only improve public confidence in markets, IIROC CEO says
The self-regulatory organization plans to focus on issues surrounding short selling
Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
IIROC issues reminder to dealers
The SRO will focus instead on participating in the CSA’s initiative to enhance proficiency requirements in the investment industry and other “targeted reforms”
SRO aims to alert dealers’ to possible weaknesses in their cybersecurity programs
The court order is part of IIROC’s bid to enhance the collection of the SRO’s enforcement sanctions
New directors include Luc Paiement and Thomas Wittman
The SRO will make certain that its rules and guidance put the best interest of clients ahead of dealers and reps