Regulators cite concerns about high-pressure sales tactics in bank branches
OSC to delegate registration to CIRO, rest of CSA considering it too
Leverage strategy deployed on the down low resulted in hefty financial losses
Reforms would extend program to fund dealers, expand monetary limits, fund certain costs
Acts in furtherance of a trade violated securities rules
Firm was alerted to $1 million in missed grants by government review
Bulletin alerts industry firms to risky activity involving legal profession
Court rules no evidence of common breach, given differences among investors
Self-regulatory organization consults on proposed disgorgement distribution policy
Approval regime, proficiency are among areas covered in latest consultation