Industry

IIROC rep fined over unauthorized activities

On November 16, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Paul Wayne Lynch.

By Staff |December 9, 2016

1 min read

2017 investment preview

Where to invest amid increased political uncertainty and trade protectionism.

December 9, 2016

6 min read

Examining IIROC’s guidance on order execution discount brokers

When is a tool not just a tool? When it’s a recommendation. In November, IIROC published proposed guidance for order-execution only (OEO) services, or online discount brokers that take advantage of the OEO suitability exemption. What’s the exemption? When one of these services accepts an order without providing a recommendation to the client, the broker […]

December 9, 2016

4 min read

Is that buy recommendation really a buy?

Bias in research recommendations may be worse than it seems

By Al and Mark Rosen |December 9, 2016

4 min read