The number of prosecutions hit record levels, while penalties handed out against individual reps also continued to grow
Report sets out the proportion of short sales in the total trading activity of each listed security across all equity marketplaces
Prior forged his siblings’ signatures on guarantees for his personal investment account
IIROC panel imposes sanctions for misconduct
Regulator failed to make its case against former Scotia Capital star trader, panel rules
A new IIROC guidance asks firms to ensure that advisor titles and credentials accurately reflect their qualifications
A new IIROC report is looking to provide a better understanding of high-frequency trading and its role in the market
Regulator implements requirements for trades that settle outside continuous net settlement facilities
Review of CDOR supervision concludes some reforms are needed
Firm failed to correct deficiencies found during compliance exam