The OSC has permanently barred two men from the Ontario capital markets, after finding they committed multiple breaches of the Ontario Securities Act.
An IIROC hearing panel accepted a settlement agreement with Daniel Biron, following the finding that he acted as a portfolio manager without proper registration from 2008-2009.
On top of that $50,000 fine, IIROC assessed $15,000 in costs and required the respondent re-write the Conduct & Practices Handbook Course and the Trader Training Course.
TMX Group, the operator of Toronto Stock Exchange and TSX Venture Exchange, has agreed to adopt IIROC’s proprietary market surveillance system, effective April 1, 2012.
A settlement hearing in the matter of Jade Truman Kaiser Mason was held today in Halifax, Nova Scotia before a hearing panel of the MFDA's Atlantic Regional Council.
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and William Geddes.
IIROC has revealed that on February 28, 2012, a hearing panel accepted a settlement agreement between IIROC staff and Pope & Company Limited.
A disciplinary hearing in the matter of Conrad Arthur Nunweiler concluded recently in Vancouver, British Columbia, before a three-person hearing panel of the MFDA's Pacific Regional Council.
America’s SRO for brokers is urging investors to review their account statements, in an effort to make clients more aware of errors or misconduct by brokers or firms, including transgressions such as unauthorized trading or overcharging customers for handling transactions.
Goldman Sachs is set to pay a $7 million settlement in the face of federal regulators' civil charges that its futures brokerage business failed to diligently supervise activity in trading accounts for two years.