IIROC

BMO Nesbitt Burns pays $55,000 for bad order

On April 3, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and BMO Nesbitt Burns Inc.

By Staff |April 16, 2012

1 min read

Industry

IIROC rep fined $600,000

Following a disciplinary hearing held February 28, 29 and March 1, 2012, an IIROC hearing panel found Sandy Joseph Bortolin liable for his breach of IIROC Dealer Member Rule 29.1. He engaged in undisclosed financial dealings and misled IIROC staff in their investigations.

By Staff |April 13, 2012

1 min read

Industry

Branch manager fined, suspended over supervision

On March 20, 2012, an IIROC hearing panel accepted a settlement agreement between IIROC staff and David Wilson Murdoch.

By Staff |April 4, 2012

1 min read

Industry

IIROC rolls out new fee models

The Investment Industry Regulatory Organization of Canada (IIROC) is implementing new fee models for both market and dealer regulation, effective April 1.

By Staff |March 29, 2012

2 min read

Client relationship reforms get the okay

The Investment Industry Regulatory Organization of Canada (IIROC) got the green light to implement comprehensive reforms intended to enhance the relationship between investors and advisors. CSA gave approval March 22 to amended rules in the Client Relationship Model that provide greater disclosure requirements for advisors and enhance the standards they must meet when assessing the […]

March 26, 2012

2 min read

IIROC

BMO Nesbitt Burns pays $55,000 for bad order

IIROC rep fined $600,000

Branch manager fined, suspended over supervision

IIROC rolls out new fee models

Client relationship reforms get the okay

Rep fined $40,000 for forged letter

Bogus portfolio manager fined $30,000

Bond deal ends in $50,000 fine

TMX to use IIROC’s surveillance system

Apple finally begins dividend, buybacks