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
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