More than five years of improperly altered client forms results in sanction

Regulator fines dealing representative $28,000, reserves decision on costs.

INVESTMENT | February 23 2024 10:36AM
Regulator publishes Ransomware Response Playbook for member firms

New guide outlines steps towards an effective ransomware response.

SOCIETY | February 21 2024 10:02AM
Lax note-keeping and pre-signed forms results in $26,000 fine

Representative also ordered to pay costs in the amount of $5,000.

INVESTMENT | February 15 2024 10:18AM
Dealing rep banned for false and misleading statements

Fictitious broker notes intended to conceal forgery also discovered during investigation.

INVESTMENT | February 09 2024 10:06AM
Former approved person fined $2.5-million and thrown out of the industry for fraud

Claims to have assisted under duress when employer defrauded lenders to buy firm.

INVESTMENT | February 08 2024 10:16AM
Advertisement
Too many regulators in the same space

Association calls out Ontario regulator’s title protection framework.

SOCIETY | February 06 2024 10:52AM
Misappropriation leads to $100,000 fine and permanent ban

Former dealing representative sanctioned after opening multiple accounts in client’s name.

INVESTMENT | February 05 2024 04:23PM