Regulator releases first enforcement annual report
SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing
Retail investors allowed to qualify as pro investors due to weak controls
IPC upholds OSC decision to preserve privacy of dealers in failed trade study
Trading engine upgrade not matched by surveillance
Breaches of anti-money laundering rules revealed in compliance review
Court dismisses case, citing importance of timely dispute resolution
Conflict arose from allocation that generated revenue from "no fee" accounts
Regulator alleged US$14 million overcharging, settles for US$150,000 penalty
Enforcement case concluded against man convicted of insider trading