Following a suspension by IIROC earlier in the quarter, this investment house has now been terminated
Regulator develops tools to help Canadian businesses help protect themselves
IIROC agreement with one provincial regulator means advisors will be subject to enhanced scrutiny and it could just be the beginning
Regulatory bodies recovering costs in the form of fees never sounds like good news, but in this debt-market case IIROC says the investor wins
A wealth management firm has been slapped with a hefty fine after failing to adequately conduct Tier 2 supervision
A hearing has been scheduled for October 29 by the Investment Industry Regulatory Organization of Canada (IIROC) to consider a settlement agreement proposed by Industrial Alliance Securities (IAS) over alleged client transactions executed outside the bounds of “good business practice.”
Despite the team’s success, not all Ticats are in a celebratory mood. The OSC is now moving to win a permanent ban for one former Ticat turned advisor
Canada’s brokerage industry regulator has fined Scotia Capital $500,000 over a breach of rules concerning eligibility of investors to participate in certain offerings
Advisors focused on maximizing returns and revenue are selling even reluctant clients on an asset mix made famous by an lvy League school.
A pair of veteran advisors -- finalists for the Wealth Professional Awards -- have chalked up win after win with a method others are only now adopting.