Organization says precise timing of trades helps create a clear audit trail
The new guidance applies to basic trading accounts at order-execution-only firms
The meeting will be held in Montreal
The "plain language" version will replace existing rules on June 1, 2020
IIROC staff sought the firm's suspension after it fell into capital deficiency in August
CSA will continue to monitor the industry’s approach to OBSI’s recommendations on investor compensation
SRO says insolvency risk poses threat to firm’s clients
In its submission to IIROC, the association also asked for clarity on the rules
The rep must also pay $105K, including fines, disgorgement and costs
OSC reaches same conclusion as an IIROC panel