The regulator collected 95% of sanctions in the last fiscal year, boosting its designated fund to $118.4 million
Firm admitted to lapses in oversight involving two reps as well as its options trading system
Firm has compensated clients, enhanced compliance
Referrals between CSA members increased in the last fiscal year
SRO hearing panel ruled the former rep "completely untrustworthy"
Board approves new enforcement system, proposes rule changes
SRO files disciplinary charges as liquidator seeks to transfer clients' accounts
IIROC noted concerns about firm's oversight of a direct access client
Rep admitted to unapproved outside dealings with clients
Grant Thornton appointed to oversee Stableview amid regulator's concerns