This plight of small dealers has coincided with the collapse of the public venture market, says Ian Russell, president and CEO of the Investment Industry Association of Canada (IIAC), in his latest industry letter.
On December 18, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement, with sanctions, between IIROC staff and Xavier Cheng Kuo Li.
SEC has announced that J.P. Morgan’s brokerage business has agreed to pay $4 million to settle charges that it made a false statement on its private banking website and in marketing materials.
Take a break by checking out some of our wackiest stories of 2015.
An IIROC hearing has been scheduled in the matter of Denyse Giroux-Garneau.
IIROC has suspended Jacob Securities Inc.
A three-member hearing panel of the MFDA recently heard two separate proceedings.
Members of the CSA have announced that amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD will come into force on May 24, 2016.
Bond market liquidity has dipped since the recession as a result of regulatory initiatives.
IIROC's floating a proposal that would allow firms and individuals to limit their business to mutual funds and ETFs.