Firm failed to adequately supervise rep
Dealer takes step to prevent future mistakes
IIROC panel imposes two-year ban of former Macquarie rep
Individuals will be placed on the list if they fail to pay the amount owing within 60 days
OSC asked to review decisions related to Lucy Marie Pariak-Lukic
Susan Wolburgh Jenah, president & CEO, Investment Industry Regulatory Organization of Canada (IIROC), discusses the evolution of the investment regulatory landscape, including how to broach CRM-2 with clients, the fiduciary question, and professional standards in Canada. Jenah spoke at CIFPs 2014 in Halifax.
Talks are meant to ensure OBSI remains a dispute resolution resource investors can trust
Voluntary code was developed by banks, IIROC and the Bank of Canada
First batch of amendments take effect July 15
Experts to study HFT impact on market quality and integrity