An Ontario court has approved a plan submitted by the OSC and IIROC to distribute funds to investors burned in the third-party Asset-Backed Commercial Paper (ABCP) fiasco that began in 2007.
Regulators are seeking feedback from investors and market participants on appropriate disclosure and transparency measures related to short sales and failed trades in Canada.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Carol Voyer.
Following an expedited hearing First Leaside Securities Inc. has been suspended from IIROC.
The Investment Industry Regulatory Organization of Canada is taking emergency measures to shut down First Leaside Securities Inc.
On January 30, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and James Wenman.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Ilya Soliterman.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and David Charles Parkinson.
On January 25th, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and Konstantine Dariotis and Alfonso Fiumidinisi.
Preferential treatment of some clients gets two reps banned for 20 years, with fines totally $225,000.