Ontario-based salesman engaged in personal financial dealings with a client, failed to disclose other gainful occupation to his dealer firm
IIROC panel decision “defensible”, OSC panel rules
John Brodie made unsuitable investment recommendations and unauthorized trades, according to IIROC
IIROC guidance on management of stop loss orders aimed at protecting market integrity
Raymond James manager failed to properly supervise rep who recommended margin borrowing to elderly clients
The regulation of access has become ever more critical to the overall regulation of electronic trading
The trading price dropped 35% in 24 seconds due the automatic triggering of a number of stop loss orders
SRO considers dropping sections that give district councils the power to suspend or terminate a dealer
Peregrine formally resigns membership
CEO Susan Wolburgh Jenah speaks for the first time about IIROC’s data loss and the steps the organization is taking to ensure it doesn’t happen again