Rep lost money alongside clients in unapproved outside investment
All provinces expected to join effort to curb duplication, burden
SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project
CIRO plans to facilitate voluntary participation in federal open banking effort
Ex-rep sanctioned for providing disgruntled clients with false portfolio reports
CIRO, CSA to publish joint report on CFR sweep in first half
After consultation, SRO cuts proposed new dealer application fees
SEC reforms under judicial review, Canadian regs won't change first
Earlier decision requiring clearing broker to produce records overturned
Effort to elevate financial compensation in criminal cases falls flat
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