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IIROC fines representative for failing to flag suspicious trading

IIROC has fined and sanctioned an Industrial Alliance Securities representative $50,000 after he admitted he failed to f…

INVESTMENT | September 25 2020 09:19AM
Halifax investment advisor fined $90,000

The Investment Industry Regulatory Organization of Canada has fined and sanctioned a Halifax-based advisor who failed to…

INVESTMENT | September 21 2020 02:08PM
PEAK Securities fined $130,000

PEAK Securities Inc. is the latest PEAK Financial Group Inc. subsidiary to be hit with regulatory fines and sanctions.

INVESTMENT | September 18 2020 02:35PM
Branch manager fined for mismanaging his mother’s accounts

A Calgary representative was fined $40,000 and suspended 60 days for investing his mother’s assets in high-risk strategi…

INVESTMENT | September 15 2020 12:43PM
Majority of Canadians give thumbs down to simple SRO merger

Most Canadians prefer oversight and protection to a simple SRO merger, according to an MFDA poll.

INVESTMENT | September 09 2020 09:00AM
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IIROC takes on expanded role of information processor for CSA

IIROC announced that the first phase of its expanded role as the information processor of government debt securities for…

INVESTMENT | September 02 2020 01:30PM
Merging regulators could result in savings over 10 years: Deloitte LLP

A new assessment of benefits and costs shows the industry could save half a billion dollars over 10-years if self-regula…

INVESTMENT | August 25 2020 02:53PM