Order types without specific execution price limits “of particular concern”
IIROC releases draft on compliance obligations when using social media
Several rules get substantive revisions in addition to plain language rewrite
Alberta rep fined for acting as an “advisor” without being registered as such
The executive director of the British Columbia Securities Commission has issued a notice of hearing seeking reciprocal orders against Dirk Christian Lohrisch based on a July 26, 2010 decision of the Investment Industry Regulatory Organization of Canada .In the IIROC decision, the panel found that Lohrisch, a Vancouver, B.C. resident, had contravened its dealer member […]
Cooney fined $100,000; Jory Capital fined $120,000
Firm fined for supervision, record keeping failings
Dennis failed to inform his firm about referral arrangement
Shamseer made discretionary trades without having account approved as discretionary