The result for firms was the costliest since 2013
IIROC found that the man failed in his duty to protect the financial markets
The self-regulatory organization issued new guidance for dealers' sales practices
New data from IIROC shows trading volume was up almost 50% compared to Q4
A hearing panel found the rep borrowed $150,000 from an elderly client
A merger "would not be adequate given the shortcomings of the current SRO system"
Dealers must apply in writing regarding issues resulting from the pandemic
IIROC staff argued the non-compliance was "a wilful business decision"
Applications are now due in April
The MX’s regulatory division and IIROC have acknowledged that flexibility may be necessary