Clients had limited investment knowledge: IIROC panel
Regulator wants a third-party opinion on the effects of HFT on market quality and integrity
Montreal-based firm files $52 million class action against the SRO
Regulators examining IIROC policies and procedures
Incident of lost account information is forcing IIROC to act
SROs may fall through cracks in privacy rules
A lack of liquid assets has led to the Winnipeg-based firm’s suspension in several provinces
The brokers were fined $500,000 and $100,000 respectively for failing in their roles as gatekeepers
Investment advisor failed to use proper due diligence and orchestrated a private off-book investment for clients