Some small dealers contend that they are overregulated, and that the regulatory burden tends to favour larger companies
Shortcomings were noted in several areas, including suitability, awareness of advisor credentials and fee disclosure
Regulators propose making corporate debt trading publicly available
Firm ordered to cease dealing with the public
Board re-appoints Marianne Harris as chairwoman
Rule breakers often evade payment by simply leaving the securities industry
The firm has terminated its employees and is winding up its business
Hearing panel finds supervisory shortcomings
Some regulators are imposing new requirements on issuers, while others are focusing on investors
Amendments recognize that dealer fees should be based on the usage of IIROC’s regulatory services