Advisor engaged in “free-riding”
Clients lost $6.7 million on failed investment strategy program
378 exemptions from proficiency requirements granted
Unsuitable investments, unauthorized trades result in penalty
After returning to Canada following a long absence, the client found over 50 trades were made without any discussion or authorization
Amendments balance the investor’s right to choose with the need to protect investors from conflicts of interest
Proposals aim to ensure that third-party electronic access to marketplaces is subject to supervision and regulatory oversight
Two project teams chosen to assess the impact of HFT on Canadian equity markets
OneWorld allows IIROC to encrypt email transmissions to dealers
Vancouver meeting to discuss some of the issues facing junior markets