Amendments recognize that dealer fees should be based on the usage of IIROC’s regulatory services
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