Rail obstructed IDA investigation, failed to use due diligence
The proposed dealer regulation fee model will charge a $250 fee for each registered individual
A new provision has been added to set out the steps a dealer must take in deciding whether to allow a client to trade on margin
The new circuit breakers will initially apply to all securities included in the S&P/TSX composite index, and ETFs that are comprised principally of listed securities
Brossard, Que. manager failed to supervise transactions by reps
John Fabello, a partners with the law firm Torys LLP, describes advisors' gatekeeper obligations as described by the Investment Industry Organization of Canada, and what they can learn from regulatory investigations. He spoke with Gavin Adamson at the TMX Broadcast Centre in Toronto.
Ex Canaccord rep fined $30,000
Proposed technical amendments aim to clarify that the requirements cover both commodities and financial futures
Ex RBC DS rep Henry Cole misappropriated client funds, created false documents
Company allowed to operate under restrictions