Mutual fund rep fined close to $1.7-million

Outside business activities put former approved person’s interests ahead of clients’ interests.

INVESTMENT | April 12 2024 03:07PM
Sanctions for pre-signed forms levied against former Fredericton rep

Regulator enters settlement agreement fining representative who resigned in 2022.

INVESTMENT | April 11 2024 03:06PM
Firm fined $1.5 million for failing to supervise trading activity

Advisor fined $80,000 by regulator.

INVESTMENT | April 09 2024 04:19PM
Repeat offender thrown out of the industry permanently

Latest sanction the result of misleading regulators about firm’s ownership and control.

INVESTMENT | April 09 2024 09:56AM
Rep fined for selling personal cryptocurrency assets to clients

He admitted to outside business activity that was not approved of by his firm.

INVESTMENT | April 04 2024 03:50PM
Firms, associations and reps weigh in on advisor compensation

Regulator analyzes feedback to policy options proposed in January.

INVESTMENT | April 02 2024 10:46AM
Regulator fines firm $300,000 for inadequate complaint handling

Respondent outsourced complaint handling in 2017.

INVESTMENT | March 26 2024 10:18AM