Survey flags a number of concerns with dealers’ practices
The scam involves redemption requests sent from client email accounts
The goal of ensuring the industry puts client interests first has been at the heart of recent reforms, says IIROC CEO
Stronger markets have brought many retail investors off the side-lines
The self regulatory organization seeks comments on the concept of lower minimum capital requirements
Proposed guidance details common due diligence practices
Two advisors claim Manulife Securities made false allegations against them in their termination notices
Deal expected to close in mid-February
Overall industry profits up 27% in 2013
Meanwhile sanctions ordered against individuals dropped significantly