Sign in
FREE Membership Sign in
MENU
Headlines
Former advisor fined for discretionary trading and conflicts of interest

The discretionary trading was discovered after the two clients submitted a complaint to CIBC about trading losses.

FLASH +3
Mutual funds show sales growth
MUTUAL FUNDS +6
Regulator fines former mutual fund rep $40K for misappropriating funds
FLASH +3
Regulator fines advisor for using pre-signed forms in his former practice
FLASH +4
Canada Life Investment Management introduces sustainable portfolios
MUTUAL FUNDS +6
Regulator issues investor warning
INVESTMENT INDUSTRY… +0
Advertisement
Regulator imposes $30k fine for pre-signed forms
FLASH +6
SEE MORE
Most read articles
Regulator issues fraud alert
Regulator publishes 2020-2021 annual report
Ontario regulator fines and bars former advisor from trading
Desjardins Group issues debut offering of sustainable bonds
CFIQ elects Eric Halle to board chair position
RBC Global Asset Management caps several funds
Regulator publishes competency profiles for comment
Regulator imposes $30k fine for pre-signed forms
Advertisement
Go deeper

TOPICS

Investment Flash Regulation COVID19 Mergers and acquisitions Technology Economy Strategy Disciplinary Decisions Wealth management