RBC Dominion Securities Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 30 Sep 2024 19:29:13 +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 RBC Dominion Securities Inc. – Investment Executive https://www.investmentexecutive.com 32 32 RBC DS sanctioned for trading rule breach https://www.investmentexecutive.com/news/from-the-regulators/rbc-ds-sanctioned-for-trading-rule-breach/ Mon, 30 Sep 2024 19:15:29 +0000 https://www.investmentexecutive.com/?p=493643 Block trade in interlisted stock was executed off-exchange without regulatory approval

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]]> Ex-rep’s crypto trading attracts SRO sanctions https://www.investmentexecutive.com/news/from-the-regulators/ex-reps-crypto-trading-attracts-sro-sanctions/ Tue, 02 Apr 2024 19:20:18 +0000 https://www.investmentexecutive.com/?p=483037 Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings

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]]> Securities class action against mining company moves toward settlement https://www.investmentexecutive.com/news/from-the-regulators/securities-class-action-against-mining-company-moves-toward-settlement/ Mon, 08 Jan 2024 20:15:07 +0000 https://www.investmentexecutive.com/?p=478246 The company's underwriters were dropped from the proposed class action

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]]> B.C. court upholds ruling in advisor’s favour https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-upholds-ruling-in-advisors-favour/ Fri, 11 Aug 2023 19:29:56 +0000 https://www.investmentexecutive.com/?p=469969 Investor misunderstood difference between advisory and discretionary accounts, court found

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]]> Court certifies advisor vacation pay class action against RBC https://www.investmentexecutive.com/news/from-the-regulators/court-certifies-advisor-vacation-pay-class-action-against-rbc/ Tue, 03 Jan 2023 19:16:52 +0000 https://www.investmentexecutive.com/?p=458064 Lawsuit claims advisors' payouts didn't include mandated vacation pay

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]]> RBC DS admits order-marking failures https://www.investmentexecutive.com/news/from-the-regulators/rbc-ds-admits-order-marking-failures/ Tue, 26 Jul 2022 20:03:29 +0000 https://www.investmentexecutive.com/?p=448595 Software updates caused various issues undermining market oversight

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]]> B.C. court sends wrongful dismissal suit against large Canadian bank to Hong Kong https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-sends-wrongful-dismissal-suit-against-large-canadian-bank-to-hong-kong/ Fri, 15 Jul 2022 18:11:45 +0000 https://www.investmentexecutive.com/?p=448086 Former RBC DS executive seeking $3.9 million

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]]> Discretion proves better part of valour for advisor https://www.investmentexecutive.com/news/from-the-regulators/discretion-proves-better-part-of-valour-for-advisor/ Fri, 17 Sep 2021 20:24:11 +0000 https://www.investmentexecutive.com/?p=429059 Court finds no breach when advisor didn't "sell in May and go away"

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]]> RBC Dominion Securities fined $350K for supervisory failings https://www.investmentexecutive.com/news/industry-news/rbc-dominion-securities-fined-350k-for-supervisory-failings/ Tue, 27 Jul 2021 17:45:51 +0000 https://www.investmentexecutive.com/?p=426070 In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers

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]]> Former advisor heads to jail for fraud https://www.investmentexecutive.com/news/from-the-regulators/former-advisor-heads-to-jail-for-fraud/ Thu, 03 Sep 2020 20:57:16 +0000 https://www.investmentexecutive.com/?p=406576 Ex-rep sentenced to jail and ordered to repay firm

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