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IIROC fines firm $350K for supervision failures | Investment Executive

IE Staff
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has fined a firm $350,000 for supervision failures, the regulator said in a release on Wednesday.
IA Private Wealth Inc. (IAPW) admitted that it failed to establish and maintain a system to supervise its employees’ activities largely those of Donald McFarlane, a former director with the firm, according to a settlement agreement.
McFarlane joined the firm previously named Industrial Alliance Securities Inc. as a result of a 2013 acquisition. His unsupervised activities included unsuitable investment recommendations to clients, high concentration and trading volumes in small issuers, and the improper use of margin in client accounts, the settlement agreement said. ....

Industrial Alliance Securities Inc , Industrial Alliance Securities , தொழில்துறை கூட்டணி பத்திரங்கள் இன்க் , தொழில்துறை கூட்டணி பத்திரங்கள் ,

IIROC fines firm $350K for supervision failures

Staff
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has fined a firm $350,000 for supervision failures, the regulator said in a release on Wednesday.
IA Private Wealth Inc. (IAPW) admitted that it failed to establish and maintain a system to supervise its employees’ activities largely those of Donald McFarlane, a former director with the firm, according to a settlement agreement.
McFarlane joined the firm previously named Industrial Alliance Securities Inc. as a result of a 2013 acquisition. His unsupervised activities included unsuitable investment recommendations to clients, high concentration and trading volumes in small issuers, and the improper use of margin in client accounts, the settlement agreement said. ....

Industrial Alliance Securities Inc , Industrial Alliance Securities , தொழில்துறை கூட்டணி பத்திரங்கள் இன்க் , தொழில்துறை கூட்டணி பத்திரங்கள் ,

ALX Resources Corp. Closes Final Tranche of Private Placement

ALX Resources Corp. Closes Final Tranche of Private Placement
investingnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investingnews.com Daily Mail and Mail on Sunday newspapers.

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Varcoe: An energy transition on hyper-speed takes off in Canada

Varcoe: An energy transition on hyper-speed takes off in Canada
calgaryherald.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from calgaryherald.com Daily Mail and Mail on Sunday newspapers.

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Chris Varcoe: An energy transition on hyper-speed takes off in Canada

Chris Varcoe: An energy transition on hyper-speed takes off in Canada
edmontonjournal.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from edmontonjournal.com Daily Mail and Mail on Sunday newspapers.

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