Firm failed to ensure employees understood their responsibilities to conduct certain reviews.
Garrod agrees to $70,000 penalty
U.S. regulator ordered more than US$2.8 billion in penalties and disgorgement in its latest fiscal year
OSC fines firm, two execs for ABCP disclosure failings
Hedge fund manager slapped with record fine for illegal insider trading
Hearing scheduled for Nov. 23
IIROC panel says Canaccord rep engaged in unauthorized trades to generate commissions
No evidence that Xanthoudakis and Smith were denied a fair hearing by OSC panel
Steinhoff made discretionary trades and unsuitable investments
Wetston says the OSC is keeping a close watch on the changes wrought by globalization, technological advancement and product innovation