The CSA and IIROC are seeking comments on their joint paper by May 13
Nominations are due March 22
An IIROC panel made a mistake in dismissing an allegation of unauthorized outside business activity
Regulator satisfied firm would address concerns about client confusion
Omega operates two alternative trading system marketplaces
Fines against advisors went up last year, while disgorgement ordered decreased
The self-regulatory organization released its compliance priorities report Tuesday
Worldsource Securities failed to adopt controls to prevent the double charging
Case concerns trading of Concordia International shares
The PM and dealer have different roles and regulatory obligations