The firm was sanctioned by the OSC in 2018 for violating the sales practices rule
Two former executives face a hearing next year
Applications are due Dec. 31
Proposed exemption would allow non-accredited investors to self-certify their sophistication
IIROC has set date for disciplinary hearing
The man had already been sentenced to six years in prison after pleading guilty to 22 counts of fraud
Protecting material non-public information is paramount when staff work remotely
Proposals modify IIROC's rules to adhere to upcoming regulatory reforms
With investors owed millions, the regulator aims to preserve man's assets for future claims
Delayed disclosure on Form F4 calls into question advisor integrity