The suspension follows an OSC decision banning Paul Azeff and Korin Bobrow
The SRO will also be exploring the use of social media as part of its compliance priorities for 2016, which were published on Thursday
Citing lack of support, the regulator has decided not to proceed with a proposal to adopt lower minimum capital requirements for this firm
The firm was fined a penalty of $75,000 and charged costs of $15,000 resulting from the inappropriate trading of leveraged ETFs
The SRO wants the ability to enforce its hearing panel penalty decisions through Ontario’s courts as well as statutory immunity for its staff
Most independent mutual fund dealers don’t expect to survive if investment dealers are permitted to field their own teams of mutual fund representatives. That’s according to the recently released results of a Mutual Fund Dealers Association of Canada (MFDA) consultation carried out with mutual fund dealers on the possible impact of the Investment Industry Regulatory […]
Nomination will be considered in March
The self-regulatory organization had suspended the firm in September
Active management of cyber risk is critical to the stability of firms and the protection of investors
Clients are advised to contact the firm’s carrying broker directly