Ex NBF broker transferred funds without clients’ consent and forged client signatures
Former Laurentian Bank Securities rep sanctioned for executing unsuitable transactions to generated commissions and for forging a client’s signature on an application form
The adoption of these controls aims to help reduce short-term, unexplained price volatility and to address risks arising from electronic trading.
The SRO will retain its surplus to cushion the impact of a new accounting standard and anticipated capital expenditures
DWM Securities advisors sold exempt funds to hundreds of clients who didn’t qualify for a prospectus exemption
The firm will pay a fine and costs to the self-regulatory organization as a result of several regulatory infractions
IIROC imposes five-year suspension
Rep admitted to misappropriating $143,000 from a client account
The SRO is seeking public input to assist with the process of re-evaluating its current strategic objectives and priorities
New guidance from IIROC allows firms two ways of complying with their obligation to mark orders from insiders