Inter-jurisdictional order mirrors Alberta Securities Commission sanctions in suitability case.
Finds that a permanent ban from registration was not harsh or excessive.
Capital markets use cases, benefits and challenges examined to determine the need for governance.
Investment fund and structured products branch says investor protection remains a top priority.
Summary report intended to help registrants comply with Ontario securities laws.
Red Cloud Securities also ordered to disgorge more than $611,306 in commissions.
Strongly encourages regulator to provide an exemption to self-regulatory organization members.