Mackie Research Capital Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 08 Jul 2021 18:45:07 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mackie Research Capital Corp. – Investment Executive https://www.investmentexecutive.com 32 32 IIROC fines former advisor $150K for excessive trading, client borrowing https://www.investmentexecutive.com/news/from-the-regulators/iiroc-fines-former-advisor-150k-for-excessive-trading-client-borrowing/ Thu, 08 Jul 2021 18:44:15 +0000 https://www.investmentexecutive.com/?p=425013 Misguided faith in tactical trading strategy led to the violations

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]]> Public interest outweighs possible prejudice, IIROC panel rules https://www.investmentexecutive.com/news/from-the-regulators/public-interest-outweighs-possible-prejudice-iiroc-panel-rules/ Wed, 28 Oct 2020 18:53:49 +0000 https://www.investmentexecutive.com/?p=409856 Rep facing discipline is allowed to use IIROC transcript in court case

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]]> IIROC reaches settlement with Mackie https://www.investmentexecutive.com/news/from-the-regulators/iiroc-reaches-settlement-with-mackie/ Wed, 22 Jul 2015 19:00:00 +0000 https://www.investmentexecutive.com/uncategorized/iiroc-reaches-settlement-with-mackie/ The firm will pay a fine and costs to the self-regulatory organization as a result of several regulatory infractions

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