Firm failed to ensure employees understood their responsibilities to conduct certain reviews.
Garrod agrees to $70,000 penalty
KMPG appointed trustee in bankruptcy
Wendy Rudd joins senior management team
IIROC panel says Canaccord rep engaged in unauthorized trades to generate commissions
Latest round of compliance exams to focus on client complaint handling rule
Steinhoff made discretionary trades and unsuitable investments
IIROC hearing panel erred in making its findings against Blackmont and Duke
Summer survey indicates an improvement in the level of satisfaction with the MFDA
Panel found TD Securities didn’t fail in its supervisory duties, even though its employees were found to have repeatedly breached trading rules