News and resources for Canada's top financial advisors
Est. 1998
Industry
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
Financial wrongdoers beware: if IIROC has its way, there will soon be less room to hide.
By Staff |August 23, 2016
2 min read
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
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
On October 13, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Assante Capital Management Ltd.
By Staff |October 27, 2015
IIROC wants clearer authority to collect fines across the country.
By Staff |August 27, 2015
ITG and its affiliate, AlterNet Securities, have agreed to pay US$20.3 million to settle SEC charges that they operated a secret trading desk and misused dark pool subscribers’ confidential trading information.
By Staff |August 12, 2015
3 min read
On July 20, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Zhenyu Li.
By Staff |July 28, 2015
The British Financial Reporting Counsel is investigating KPMG for its audit work at Bank of New York Mellon, reports Reuters.
By Staff |June 23, 2015
On April 17, 2015, a settlement hearing was held in Vancouver before a three-person panel of the Pacific Regional Council of the MFDA.
By Staff |April 22, 2015
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