The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
IIROC will publish one- and three-month BA rates on its website beginning in January 2019
The majority of respondents said the proposed fines for minor rule violations were too low and should be raised
Advisors can see how financial health is distributed in their communities
Proposed settlement concern the dealer’s oversight of fee-based accounts
Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit
Paul Allison of Raymond James elected chairman
The advisor later admitted to making unsuitable recommendations to clients
Members will gather to elect directors
The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan