Report highlights shortcomings with relationship disclosure documents
Unnecessary redemptions, personal financial dealings result in sanctions
IIROC panel finds rep made unsuitable recommendations, unauthorized trades
Nine U.S. investor and consumer groups urge improved transparency about mandatory arbitration for investors
IIROC says its requirements to report fees and performance are generally consistent with the CSA’s CRM2 amendments
Regulator sets out approach to providing credit for cooperation during settlement negotiations
Revised guidance designed to promote consistency and enhanced standards
IIROC to review findings before determining what, if any, regulatory response may be required
Sending retail equity orders to U.S. dealers may not comply with Canadian trading rules
The SRO's performance in its enforcement and business conduct compliance functions is not up to snuff, CSA report reveals