Regulation

Trapeze fined $500,000 for client mishandling

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff, Trapeze Capital Corp., Herbert Abramson and Randall Abramson. Trapeze Capital Corp., Herbert Abramson and Randall Abramson admitted they inaccurately assessed the risk associated with many of the investments purchased on behalf of clients in managed […]

By Staff |April 30, 2012

3 min read

Provinces support national regulator plans

The federal government is working with the provinces in an attempt to finally create a common securities regulator within Canada. It will replace the patchwork of 13 regional regulators currently in existence.

April 27, 2012

3 min read

Planner banned for online stocks trades

A disciplinary hearing in the matter of Bill Hsueh was held Thursday in Toronto before a three-person hearing panel of the MFDA's Central Regional Council.

By Staff |April 27, 2012

2 min read

Advisor banned for outside activities

A disciplinary hearing in the matter of Bayant S. Dhindsa was held this week in Vancouver, British Columbia before a three-person hearing panel of the MFDA's Pacific Regional Council.

By Staff |April 27, 2012

1 min read