Regulators say firms are using a number of methods to skirt the rules
Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26
SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation
Applicant argued that an IIROC panel erred in its findings
FAIR Canada is concerned that the offenders would not be publicly identified
Charges stemmed from an alleged attempt to influence the EURIBOR benchmark
One panel member argued disgorgement was not "in the public interest"
The ASC ordered a permanent ban, $400K fine and millions in disgorgement
IIROC permanently banned the former rep and fined him $450,000 in 2018
The CSA imposed $77.5 million in fines and administrative penalties last year