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An IIROC hearing panel reached a settlement agreement involving a $45,000 fine for registered rep Matteo Marricco.
The Ontario Securities Commission has announced the updated membership of the Securities Proceedings Advisory Committee.
Dozens of small firms have either gone out of business or been swallowed up by acquisitions in recent years.
In an Advisor.ca investigation released last June, we highlighted how reps who’ve been permanently banned by IIROC or MFDA can still be authorized to sell life insurance. One of our recommendations to close that loophole was for more insurance regulators to sign information-sharing agreements with IIROC and MFDA, known as Memoranda of Understanding (MOUs). IIROC […]
01. Investor and advocate comments on CSA proposal 33-404 Investors support CSA’s proposed regulatory standard for advisors to act in the clients’ best interest, saying the current suitability and disclosure standards aren’t good enough. While some investors support the proposed securities regulatory standard, others are pushing for a statutory rule. The OSC Investor Advisory Panel’s […]
This week, the MFDA imposed fines and sanctions on two firms, related to supervision failures.
The British Columbia Securities Commission (BCSC) has released an online survey, published a new tech industry webpage and announced a dedicated tech team as part of its ongoing outreach aimed at B.C. fintech and tech companies, as well as other stakeholders active in these sectors. Read: World’s largest hedge fund firm turning to automation The […]