Panel said penalty should be bigger than regulator requested
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
Firms were allowed to collect trailers before the CSA ban, court rules
Money laundering lawyer gets 10 years in prison
Regulator calls for continuity plans at one-man shops
SRO consults on options for resolving long-standing regulatory disparity
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
Revisions aim to enhance corporate transparency to investors, policymakers
New rules beef up disclosure, investor protections around shell company financings
Compliance review finds potential violations in 70% of firms' messages