In a wide-ranging interview covering topics from the gamification of trading to advisor proficiency, Paul Bourque, outgo…

Settlement agreement says firm’s policies provided guidance but did not provide adequate controls.

Failing to adequately supervise representative ends in fine and order to pay $15,000 in investigation costs.

Expressions of interest requested by December 16.

Expressions of interest requested by December 16.

Firm ordered to pay $200,000 plus costs.

The head of the new SRO that merges the IIROC and the MFDA, says it will not force any firm to change its basic foundati…