Regulatory

Pointers on CRM2 reporting

To help dealers ensure they’re compliant, IFIC has released a summary of what regulators are looking for, both in terms of actual requirements and recommended practices.

By Staff |January 14, 2016

1 min read

How to rescue the Venture Exchange: IIAC

This plight of small dealers has coincided with the collapse of the public venture market, says Ian Russell, president and CEO of the Investment Industry Association of Canada (IIAC), in his latest industry letter.

By Staff |January 14, 2016

1 min read

IIROC suspends, fines rep over discretionary transactions

On December 18, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Xavier Cheng Kuo Li.

By Staff |January 12, 2016

1 min read

J.P. Morgan paying $4 million for allegedly misleading clients

SEC has announced that J.P. Morgan’s brokerage business has agreed to pay $4 million to settle charges that it made a false statement on its private banking website and in marketing materials.

By Staff |January 6, 2016

2 min read