IIROC

Former Richardson GMP rep fined $75,000 Fallback Image Decorative pattern

Industry

Former Richardson GMP rep fined $75,000

On February 6, 2013, an IIROC hearing panel accepted an agreement between IIROC staff and Gabriel Ka Leung Lee.

By Staff |February 22, 2013

2 min read

IIROC to expand oversight of debt-securities trading Fallback Image Decorative pattern

Industry

IIROC to expand oversight of debt-securities trading

IIROC has issued for comment a proposed rule, as well as a plan to create a system for enhanced oversight of Canadian debt market activity.

By Staff |February 21, 2013

1 min read

Deutsche Bank Securities to pay $1 million for failed compliance Fallback Image Decorative pattern

Industry

Deutsche Bank Securities to pay $1 million for failed compliance

On February 8, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement between IIROC staff and Deutsche Bank Securities Ltd. It says the bank admitted in late July and early August 2007 that it failed to engage compliance with emerging issues in the asset-backed commercial paper market, contrary […]

By Staff |February 8, 2013

1 min read

IIROC revises guidance on non-arm’s length investments Fallback Image Decorative pattern

Industry

IIROC revises guidance on non-arm’s length investments

IIROC revises guidance on non-arm’s length investments based on industry comments.

By Staff |February 8, 2013

1 min read