BCSC orders eight-year ban, alongside $60,000 penalty
Former Scotia Capital rep sanctioned in settlement with CIRO
Firm admitted to serving retail investors before SRO approvals, systems in place
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
Protect yourself by creating a robust client communication trail
Online brokerage firm fined for compliance issues related to complaints, options approvals
Regulators' actions show that code is not above the law
No matter where you are in your career, compliance requirements are a must
Regulator's reviews uncover shortcomings in brokers' Reg BI compliance