Enforcement

Regulation

IIROC fines Raymond James

November 20, 2018 James Langton
Regulators’ Report Card

Court denies appeal of OSC panel’s decisions

November 16, 2018 James Langton
Regulation

TD Waterhouse Canada fined $140,000 for failing to oversee advisor’s trading

November 14, 2018 James Langton
Regulation

Investors support proposed IIROC enforcement alternatives, survey finds

November 8, 2018 Anne-Marie Vettorel
Regulation

SEC returned US$794 million to harmed investors in fiscal 2018

November 5, 2018 James Langton
Regulation

MFDA fines Investia $100,000

November 2, 2018
Regulation

IIROC secures greater enforcement authority in Canada’s territories

November 2, 2018 James Langton
Regulation

BCSC permanently bans convicted fraudster from capital markets

November 2, 2018 IE Staff
Regulation

IIROC hearing to consider settlement with Raymond James

October 31, 2018 James Langton
Regulation

Revised MFDA sanction guidelines take effect Nov. 15

October 31, 2018 James Langton
Regulation

FAQ explains OSC tribunal procedures

October 30, 2018 James Langton
Regulation

Court orders hearing to decide issue of Ian Thow penalty

October 24, 2018 James Langton