Industry News

IIROC settles with Paul Clarke, Todd O’Reilly

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted settlement agreements between IIROC staff and Paul Clarke and Todd O’Reilly. In the agreements, Mr. Clarke and Mr. O’Reilly admit that they failed to transact business openly and fairly, and in accordance with just and equitable principles of trade, contrary to […]

By Staff |January 21, 2011

2 min read

IIROC settles with Gateway Securities

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement between IIROC staff and Gateway Securities Inc. that results in Gateway’s expulsion from IIROC membership. In the agreement Gateway admits it failed to meet IIROC’s minimum capitalization requirement, contrary to IIROC Rule 17.1. Gateway’s membership had been suspended […]

By Staff |January 21, 2011

1 min read

Rotman becomes CFA Program Partner

One of Canada’s top business schools, Rotman Commerce, has become a CFA Program Partner, joining the ranks of 128 institutions around the world. “We are extremely pleased to be recognized as one of the CFA Institute’s global educational partners,” says Professor Kenneth Corts, director of Rotman Commerce and associate dean, Undergraduate Education at the Rotman […]

By Staff |January 21, 2011

1 min read

Brigata raises MER cap, cuts trailer

Brigata Capital Management has adjusted the level of operating expenses of the Brigata Funds that will be absorbed by the firm, shifting up to an additional 10 basis points onto the investor. Commencing with the 2011 financial year, Brigata will cap the MER for each fund at 2.50% for series A (the previous cap had […]

By Staff |January 21, 2011

1 min read