Suitability continues to be a major issue as it accounted for half of the prosecutions against individual registrants in 2015
Yu Qiong (Kevin) Li, who was formerly with TD Watherhouse Canada, was also banned permanently and ordered to pay costs of $15,000
Henry Sojka, who was an advisor with now-defunct Union Securities, also failed to co-operate with IIROC’s investigation into his actions
A well-suited mentor is not necessarily someone who is more experienced than you, and he or she may even be in a different industry
The bank has also announced additional executive changes, including a new COO and the current COO moving into the role as vice chairman
The IIAC also inducted six people who have made significant contributions to the capital markets industry at a gala event on Thursday
Bank /fintech partnership will speed up borrowing process for existing CIBC clients
Panel suggests new methods for fighting money laundering and identity theft
Mentoring has many benefits for both junior advisors establishing their careers and senior advisors striving to keep up with changes in the industry
The new funds, available as mutual funds and ETFs, aim to provide monthly income while managing risk through option strategies