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Supervisor sanctioned after agent circumvents compliance processes

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By Kate McCaffery | Feb. 2, 2024, 10:38 a.m.

Flash | INSURANCE COUNCIL OF BRITISH COLUMBIA (ICoBC) | Disciplinary Decisions

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Headlines

Fallout of a cyber catastrophe modelled by reinsurer

Average fund fees declined following implementation of disclosure rule amendments

Close to one-in-ten seniors worked out of necessity in 2022

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Flash

Fallout of a cyber catastrophe modelled by reinsurer

Average fund fees declined following implementation of disclosure rule amendments

Close to one-in-ten seniors worked out of necessity in 2022

Wholesalers have growth ambitions

INSURANCE COUNCIL OF BRITISH COLUMBIA (ICoBC)

Inactive agent with an active license fined for not maintaining liability insurance

Supervisors fined when licensee leaves client uninsured for months

Agent who defrauded retired couple banned from securities registration

Agency fined $20,000 for repeatedly allowing unlicensed activity

Disciplinary Decisions

Mutual fund rep fined close to $1.7-million

Missing continuing education, lapsed liability insurance nets $4,000 fine

Firm fined $1.5 million for failing to supervise trading activity

Repeat offender thrown out of the industry permanently