IIROC

Rep admits to compliance shortfalls, fined by IIROC Fallback Image Decorative pattern

Industry

Rep admits to compliance shortfalls, fined by IIROC

D&D and Lilly admitted failure to ensure compliance with certain regulatory requirements and Lilly's failure to ensure that D&D's representations to IIROC were fulfilled.

By Staff |September 22, 2016

2 min read

IIROC tells ex-rep to hit the books Fallback Image Decorative pattern

Industry

IIROC tells ex-rep to hit the books

Sawisky admitted that he failed to learn essential facts about two clients and failed to ensure that securities held by and recommended to those clients were suitable for them.

By Staff |September 22, 2016

1 min read

IIROC and IPC settle over supervision breach Fallback Image Decorative pattern

Industry

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

Reps permanently banned, yet they still handle client money Fallback Image Decorative pattern

Industry

Reps permanently banned, yet they still handle client money

Find out how.

By Melissa Shin |September 14, 2016

1 min read

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