fines

IIROC and IPC settle over supervision breach

IPC Securities Corporation admitted that it failed to conduct strict supervision of a Registered Representative pursuant to an acknowledgement and consent provided to IIROC.

By Staff |September 16, 2016

1 min read

IIROC wants its penalties to stick

Financial wrongdoers beware: if IIROC has its way, there will soon be less room to hide.

By Staff |August 23, 2016

2 min read

IIROC fines, suspends rep over supervision failure

On May 25, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Robert Graydon Oldfield.

By Staff |June 28, 2016

1 min read

CSA reports significant increase in fines for 2015

01 CSA’s 2015 enforcement report CSA’s 2015 enforcement report, published in February, reveals actions resulting in more than $138 million in fines and administrative penalties—more than double the 2014 amount (about $58 million), and almost quadruple the 2013 amount (about $35 million). Illegal distributions continue to be the most common category (50% of concluded cases […]

April 8, 2016

6 min read