The change is one of several proposed concerning the integrated fee model
Firms have made 384 reports to ComSet so far this year
IIROC suspends Ravindra Suppal for one-year
Proposed guidance would require exchanges to adopt price and volume thresholds to avoid trading volatility
Dealers must actively manage conflicts of interest and preserve confidentiality
A search for her successor is underway
Brian Malley has been charged in the death of a client and is facing a class action suit from several former clients
Survey flags a number of concerns with dealers’ practices
The goal of ensuring the industry puts client interests first has been at the heart of recent reforms, says IIROC CEO
Guidance stresses that titles that convey expertise in seniors’ issues or retirement planning should face particular scrutiny