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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.

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