Toronto rep failed to to give priority to other client orders in a bond offering
IIROC will now provide all monitoring services to equity marketplaces in Canada using one platform, STEP
IIROC panel finds former Wellington West rep failed to ensure his recommendations were suitable for his clients
Buy orders could have created an artificial sale price
Firm failed to comply with best price obligations
Distribution details will be announced “in the near future”, regulators say
Montrealr rep fined $150,000 for contravening IDA rules
Chher diverted $60,000 from his mother to use for his own personal investments
Hearing panel denies bid by Hampton Securities chairman to remove notice
Regulators mulling options for enhancing the disclosure of short sales, and introducing some public disclosure of failed trades