Carrying brokers growing in importance for independent dealers
Proposal aimed at filling vacancies in non-retail branches more quickly
Says power to intervene “should be used sparingly”
Hashim concealed faked trading activity
Annual report notes drop in spending on special projects
Selects Harrington Lane as course evaluator
Research Capital rep offered to compensate client for losses
Existing provincial requirements suit Canadian market: letter
Strategies must reduce or extinguish market risk, regulator says
Khan failed to prevent sale of certificates by rep