Firm failed to correct deficiencies found during compliance exam
Regulator proposes best practices so investors aren’t misled
Readers to be directed to required disclosures through embedded links
Reps with bank-owned dealers must sell PPNs through the investment dealer not the financial institution
Retired client with limited investment knowledge invested in higher risk securities
Winnipeg firm ordered to stop dealing with the public
NSI must cease sales and advisory activity for retail or institutional customers by the end of the year
Hearing scheduled for Dec. 13
High order-to-trade traders are responsible for a high number of orders, compared to the number of trades they actually complete
IIROC says firm must alert clients to possible restrictions