In this issue:
- Regulators: On September 14, 2005 the Investment Dealers Association of Canada (IDA) ordered HSBC Securities (Canada) Inc. (HSBC Securities) to pay $1.163 million for "failing to implement supervisory systems to address red flags and detect potentially harmful market timing practices."...
- Compliance: On August 17, 2005, the Ontario Securities Commission (the Commission or OSC) approved a settlement agreement between staff of the Commission and Lee Simpson (the Settlement)...

type Brokers' Report - October 2005