Industry News

OEO dealer fined $2 million for violating CIRO rules

Firm offered recommendations in contravention of its registration as an order-execution-only dealer

By Staff |March 12, 2024

2 min read

CIRO panel sanctions rep who acted as client’s PoA, executor

Serving as a client's executor totally incompatible with rep's role, panel says

By James Langton |March 8, 2024

2 min read

Court rejects latest bid to derail OSC case against Edward Gong

Tribunal decisions aren’t final until sanctions imposed, court says

By James Langton |March 8, 2024

2 min read

PPI adjusts executive team, aiming to attract more advisors

Other major top-level shifts have occurred at CIBC and the Ontario Securities Commission

By Katie Keir |March 7, 2024

3 min read