Changes include clearer requirements for dealers to conduct investigations
Clients lost over $1 million on risky options strategy in market crash
The ex-representative embezzled funds from elderly clients
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
Debra Doucette takes the role as Holly A. Benson steps down
Regulators aim to name CEO, board by Q2 next year
The regulator can now collect fines through the courts countrywide
Rep sought to repay money with risky options trading
The regulator's accreditation relationship with CECAP will end on Dec. 31
IIROC panel found rep secretly compensated clients, misled investigators