The two investment industry SROs sign a disciplinary information-sharing agreement in Quebec
Investment dealers get nine-month extension
Paul Azeff and Korin Bobrow are still serving clients pending their appeal of an OSC ban
The new proposals would require dealers to include the IIROC logo on all client account statements
Fees will finance debt market oversight efforts
The branch in Red Deer, Alta., was staffed by former advisor Brian Malley, who was convicted of murdering a client earlier this year
An IIROC hearing panel finds a former broker performed unauthorized trades and failed to co-operate with an investigation
The SRO is to begin collecting debt trading data from dealers in November
The request for a panel constituted of members whose mother tongue is English is “not recognized by law”
With the launch of TSX Alpha Exchange, an unprotected market will be operating alongside protected markets for the first time