Clients lost millions on futures trading that generated large commissions
SRO to mimic U.S. regulatory halts for stock-tracking vehicles
Expanded fund reporting requirements to take effect in 2026
Echelon Partners failed to guard against clients' potentially-suspicious trading in U.S. OTC markets
On July 1, Quebec joins effort to streamline registration, cut regulatory burden
SRO sees jump in complaints, investigations, but proceedings down
Reps fined, banned for personal financial dealings with clients
Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains
Regulator outlines examination priorities for fiscal 2026
Regulator proposes broad prohibition on trading in connection with offerings