Compliance deficiencies led to clients paying excess fees
IIROC sanctions called “disproportionate”
New trade reporting requirements take effect Oct. 31
Lawyers wrap up arguments at OSC hearing
The goal is to provide tools to assist registrants with maintaining effective compliance
Scheme allegedly defrauded retirement home owners of advance fees
Ricci seeking to overturn IIROC penalty
In-depth knowledge of securities law and regulatory policy essential for Securities Advisory Committee membership
Regulators are thinking beyond simply improving disclosure
Former rep admits he repeatedly used pre-signed blank client forms