The rule changes come into effect Sept. 6
The SRO announced plans in April to introduce a minor contravention program
Fines, disgorgement and costs total $105,000
Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26
Applicant argued that an IIROC panel erred in its findings
FAIR Canada is concerned that the offenders would not be publicly identified
IIROC permanently banned the former rep and fined him $450,000 in 2018
IIROC survey shows support for protecting vulnerable clients, while CSA suggests best practices
They take effect in September
Committee applications due July 5