BCSC panel rules out suspension for Victoria broker Carolann Steinhoff
Meanwhile sanctions ordered against individuals dropped significantly
OSC mystery shoppers seek “investor experience”
Report outlines new initiatives including guidance for working with senior investors
Ontario rep relied on second-hand information from her husband that an investment qualified for exempt status
Regulator spells out its expectations for the due diligence that firms must carry out before outsourcing any activity
The changes are aimed at enabling more effective oversight of debt trading
Regina rep had elderly clients with low risk tolerance invested in equities and holding a margin account
IIROC’s proposals spell out its plan for its version of the CRM 2 rules
IIROC to respond to concerns regarding the scope of dealings that are prohibited by the current rules