Web10 apr. 2024 · The Investment Dealer Division of New SRO formally initiated the investigation into Lee Fraser Harwood’s conduct in May 2024. The conduct occurred while the respondent was a Registered Representative with the Halifax branch of Scotia Capital Inc., at the time an IIROC-regulated firm. Web23 jul. 2024 · July 23, 2024. 00:00. A former registered rep has been fined $50,000, including disgorgement, and banned for two years by IIROC for allegedly engaging in …
New SRO Interim Rules – Frequently Asked Questions
Web30 dec. 2015 · On November 25, 2015, the Investment Industry Regulatory Organization of Canada (IIROC) published a white paper proposing changes on two fundamental issues … WebAll firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for … mylee no wipe top coat
Former rep fined $150,000 - Insurance Portal
WebThe Registered Representative and the Dealer confirm, represent and acknowledge to Mackenzie the following: (a) The Registered Representative has been designated and … WebCanada’s provincial and territorial securities regulators have recognized the New Self-Regulatory Organization of Canada (New SRO) effective January 1, 2024. The New … Web7 feb. 2024 · For more information on IIROC’s CE program please visit: www.iiroc.ca. In addition to the above recognitions, IIROC recognizes the three levels of the CFA … myleenesmusic.com