IIROC published guidance to clarify how Order Execution Only (OEO) investment firms may use automation in their approval process...
CN Editor
August 29, 2019
WEBSITE CONSOLIDATION: PHASE 2 UPDATE
TRIBUNAL TRIMS SANCTIONS AGAINST FORMER REP
IIAC COMMENTS TO CONTINUED MODERNIZATION OF OEO REGULATORY FRAMEWORK
NOTICE OF COMING INTO FORCE OF OSC RULE 81-509 EXTENSION TO ONTARIO INSTRUMENT 81-508 TEMPORARY EXEMPTIONS FROM THE OEO TRAILER BAN TO FACILITATE DEALER REBATES OF TRAILING COMMISSIONS AND CLIENT TRANSFERS
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CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
CIRO MEMBER CHANGE OF CONTROL: OPTIMIZE WEALTH PARTNERS INC.