Two former Desjardins Securities reps ordered to repay profits
The OSC and IIROC say settlement cheques will be sent my the end of March
Capital shortfall leads to suspension by IIROC
IIROC panel dismisses allegations of “conduct unbecoming”
Regulator wants to raise awareness of AdvisorReport during Fraud Prevention Month
Vitug must pay $80,000 in costs ordered by hearing panel
Vancouver man falsified commission forms, IIROC panel finds
New CSA and IIROC proposals look to provide greater oversight and intensify surveillance of the OTC market
Stop loss orders trigger 55% price drop in less than one second
Conville given six-month suspension