Board has three new members
The CSA warns the industry against abuses as bans loom for trailers, DSCs
The firm reported that clients had paid trailers on fee-based accounts
Rep sought halt of nine-month suspension, pending review of IIROC ruling
IIROC suggests electronic proceedings may continue post-pandemic
Respondents to a poll favoured enhanced oversight and comprehensive SRO reform
Ex-rep sentenced to jail and ordered to repay firm
IIROC launches first phase of government debt reporting
New report explores the costs and benefits of an IIROC/MFDA merger
Comments on proposed requirements for registered representatives and investment representatives are due in November