Regulatory

IIROC fines branch manager, firm over supervision failure

On August 24, 2015, an IIROC hearing panel accepted a settlement agreement between IIROC staff, and Brian Douglas Bergen and Leede Financial Markets.

By Staff |September 9, 2015

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UPDATED: IIROC pushing for more authority to collect fines

IIROC wants clearer authority to collect fines across the country.

By Staff |August 27, 2015

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Capital Markets Act would change B.C., Ontario rules

Rules for registering as a B.C. investment fund manager would change under proposed national securities rules, says law firm Gowlings.

By Staff |August 26, 2015

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MFDA suspends rep over leveraged strategy

A settlement hearing in the matter of Joseph Daniel Laurie was held today in Halifax, Nova Scotia before a three-person hearing panel of the Atlantic Regional Council of the MFDA.

By Staff |August 19, 2015

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