Warkentin submitted false documents, made misleading statements
B.C. advisor facing $100,000 fine and suspension from IIROC
Suspension follows bankruptcy of U.S. parent company
New deadline gives firms time to make systems changes
The Investment Industry Regulatory Organization of Canada (IIROC) will hold an expedited hearing to consider suspending Peregrine Financial Group Canada, Inc. after the company’s U.S. parent fell into bankruptcy amid allegations of fraud last week. IIROC said Wednesday that it will hold a hearing Thursday morning, where IIROC staff will be seeking an order for, […]
B.C. Supreme Court dismisses case
Regulator to review CDOR in light of LIBOR rate-fixing scandal
Firm admits to supervisory failings
New category would allow U.S. broker dealers registered with FINRA to directly seek cross-membership with IIROC
Dealer failed to failed to properly process and price the sale of Opti Canada shares