Six Richardson GMP clients invested $6 million in a Hong Kong-based company off-book
IIROC will continue to harmonize with the new U.S. market-wide safety valves
Proposed rule would require dealers to report all debt market transactions
Panel finds branch manager failed to properly supervise account
The creation of a new registration category has been scrapped. New rules will be put in place to restrict the activities of EMDs
Dealers called on to implement policies to address, detect, prevent and report manipulative and deceptive activity
Firm settles with regulator over its role in the collapse of the non-bank ABCP market
The CSA will be proposing rule amendments to prohibit EMDs from providing brokerage services
Regulator spells out expectations on product due diligence, conflict assessment and suitability
The carrying brokerage is in the process of closing down its business in Canada