Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers
New proposals attempt to “cover potential liquidity stress scenarios”
The complaints must be “retrievable within a reasonable time”
The regulator unveiled allegations about a purported crypto-mining effort on Tuesday
Comment letters from Advocis and others highlight the issues
Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection
One man reportedly tipped his friend to his company’s financial results
Brokers can provide shorter disclosure forms to “sophisticated” investors
The man was previously convicted in Germany for a pump-and-dump scheme
The rep also had a dual occupation as a telemarketer