The rep must also pay $105K, including fines, disgorgement and costs
He also pleaded guilty to three counts of failing to comply with an ASC order
The former rep was also a beneficiary of a client's estate and accepted her Air Miles
The committees will advise Ontario's new financial services regulator on three pension-related areas
The OSC found the firm directed client trades through an affiliated dealer when better terms were available elsewhere
Regulator plans to implement revisions by Jan. 1, 2020
Woman received a permanent trading ban and was fined millions in 2017
OSC reaches same conclusion as an IIROC panel
Case involved referrals that violated securities rules
Basel Committee says Canada meets or exceeds requirements