IIROC has fined and sanctioned an Industrial Alliance Securities representative $50,000 after he admitted he failed to f…
The Investment Industry Regulatory Organization of Canada has fined and sanctioned a Halifax-based advisor who failed to…
PEAK Securities Inc. is the latest PEAK Financial Group Inc. subsidiary to be hit with regulatory fines and sanctions.
A Calgary representative was fined $40,000 and suspended 60 days for investing his mother’s assets in high-risk strategi…
Most Canadians prefer oversight and protection to a simple SRO merger, according to an MFDA poll.
IIROC announced that the first phase of its expanded role as the information processor of government debt securities for…
A new assessment of benefits and costs shows the industry could save half a billion dollars over 10-years if self-regula…
