Ontario advisor permanently banned

Both MFDA and IIROC make allegations against advisor.

INVESTMENT | January 07 2021 09:30AM
Mackie and portfolio manager fined for failing to adequately supervise

Investment firm Mackie Research Capital Corporation has been fined $75,000 and costs of $10,000.

INVESTMENT | November 26 2020 12:26PM
IIROC weighs in on titling issue

IIROC has submitted its response to FSRA’s request for comment on its proposed title protection rule. It urged the regul…

INVESTMENT | November 13 2020 02:39PM
IFIC calls for exemptions to proposed title protection rule

IFIC has added its voice to those weighing in on the proposed Financial Professionals Title Protection rule and associat…

INVESTMENT | November 13 2020 01:00PM
IIROC publishes advisor survey results in support of single SRO

The Investment Industry Regulatory Organization of Canada released two studies, which suggest that regulatory burden and…

INVESTMENT | November 05 2020 01:42PM
IIAC comments on FSRA’s proposed title regulation

The Investment Industry Association of Canada has submitted and published its comments on FSRA’s proposed rule and guida…

INVESTMENT | November 03 2020 12:05PM
Associations comment on SRO questions posed by the CSA

IFIC and PMAC have both published comments regarding the CSA’s review of the regulatory framework governing the industry…

INVESTMENT | October 26 2020 01:30PM