Document aims to clarify firms’ obligations under the first phase of the Client Relationship Model rules
Regulator scraps anti-avoidance provision in favour of revised guidance
The study did not reveal any concerns that warranted a regulatory response beyond measures already implemented by IIROC
Robert Lewis has to pay a fine of $175,000 for five infractions committed between 2008 and 2012 when he was an advisor with Manulife Securities
The exemption relates to reporting requirement for firms that have relatively small amounts of client assets held off-book
Scott Lower had applied to the commission to review IIROC’s decision to ban him from the industry
EY to initiate transfer of customer accounts to other dealers “as soon as possible,” CIPF says
The capital deficient firm does not have a qualified CFO
White paper opens the door to SRO merger and raises complex issues that will require a thorough policy debate, some say
SRO white paper recommends securities dealers be allowed to hire reps limited to selling mutual funds and ETFs