New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

By James Langton |November 24, 2022

2 min read

Ex-rep banned, sanctioned $5.9 million

IIROC alleged the rep misappropriated millions from elderly clients

By James Langton |November 14, 2022

2 min read

IIROC imposes curbs on OEO dealer

Regulator alleged U.K.-based firm violated prohibition on advice

By James Langton |November 10, 2022

2 min read

Ex-rep sanctioned after ignoring red flags

Settlement follows violations including overlooking suspicious trading activity

By James Langton |October 28, 2022

1 min read