Regulator rejects call for heavier penalty
Tougher sanctions against those who commit fraud or make unsuitable recommendations to clients
IIROC sanctions professional trading firm for inadequate controls
Recommendation for more severe sanctions rejected
Court dismisses motion to revoke freeze in Future Solar enforcement case
Cases involving seniors are almost twice as likely to move from initial assessment to disciplinary action
Consideration by hearing panel of guidance note on inverse ETFs “inappropriate”, OSC rules
New policy to limit disclosure of personal information in enforcement proceedings
RBC Capital Markets ordered to pay restitution to customers for supervisory failures
Enforcement division prosecuted nine fraud cases last year