Gareau to face penalty hearing
Former IDA firm ordered to pay $130,000 penalty
Chher diverted $60,000 to use for his own personal investments
OSC says firm could still bring a motion for a stay at a later stage, or seek a review of any final decision in the case
U.S. securities industry supports SEC proposals
Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
Both IIROC and the CSA have released notices on regulations concerning outside business activities for financial advisors. Regulators and legal experts say the rules have been clarified; but from a practical standpoint, little has changed
Dealers say value of IIROC MFDA merger is in cutting costs
The SRO has been much busier than usual through the first seven months of 2011, particularly when it comes to disciplining individuals
IIROC and the MFDA ask their members about getting together