With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
An oversight examination has uncovered just one "low-priority" issue with market surveillance
Rep fined $75,000, suspended for six months in settlement with regulators
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
Reporting changes will be rolled into a bigger project on complaints, investigations
Investor advisory panel would provide feedback on regulatory policy issues and initiatives
The group will provide industry input on advisor education
Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks
The CSA will finalize rules designed to protect vulnerable clients by early summer
Man also admitted he used pre-signed forms