Regulators

Investors should have a voice in SROs, says advocate

Comment letter emphasises need to ensure industry interests don't overshadow investor concerns in SRO consultation

Investors should have a voice in SROs, says advocate

Industry groups weigh in on SRO framework consultation

Comments reflect support for consolidation, oppose inclusion of other registration categories

Industry groups weigh in on SRO framework consultation

Ex-dealing rep banned for conflicted processing of orders

MFDA concludes failure to execute purchases in a timely manner added to respondent's compensation to clients' detriment

Ex-dealing rep banned for conflicted processing of orders

Challenges ahead for managers, OEO dealers faced with trailer ban

Investment fund industry players will have to grapple with tough questions before rules take effect in 2022

Challenges ahead for managers, OEO dealers faced with trailer ban

Portfolio manager fined $250,000 for ‘deceptive conduct’

IIROC statement describes abuses of employer trust through backdated and cancelled transactions

Portfolio manager fined $250,000 for ‘deceptive conduct’

Advisor banned for misappropriating nearly $30,000 for gambling

Ex-TD Bank employee must pay almost $100,000 for violations that affected four people, two of whom were clients

Advisor banned for misappropriating nearly $30,000 for gambling