A panel said the firm failed to put client interests ahead of its own
Settlements generate US$89 million in restitution
Defendant pleads guilty to his role in the scheme
Woman was permanently banned and ordered to pay $2.24 million in 2017
Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties
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