U.S. authorities allege Quebec firm used in market manipulation
SRO alleged rep took money from a client who was a fellow fund rep
Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies
Side business allegedly enabled billions of stock trades
Volume of disciplinary actions and total financial sanctions rose in fiscal 2022
Rating agency's sales personnel pressured analysts on RMBS transaction, regulator alleged
Potential conflicts involving clients' wills weren't reported to dealer
IIROC alleged the rep misappropriated millions from elderly clients
Timing of bulk trades and poor record keeping results in disciplinary penalties
DoJ, SEC are examining the firm for criminal activity, securities violations