Would-be representative sanctioned for disclosing client information to defunct firm

Gave Wealthsimple Advisor Services access to extensive client information in a bid to switch firms.

INVESTMENT | June 06 2023 10:48AM
Investment Funds Institute of Canada president named

New president and CEO to succeed Paul Bourque who announced his retirement in June 2022.

INVESTMENT | January 06 2023 04:30PM
Representative sanctioned for paying clients for his errors

Pre-signed and altered account forms also discovered during the course of firm’s investigation.

INVESTMENT | November 07 2022 03:23PM
Rep suspended after 134 altered forms discovered

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

INVESTMENT | September 06 2022 09:36AM
Stealth advising relationship ends in sanctions

A former rep has been fined and banned for a period of five years.

LIFE INSURANCE | February 22 2022 10:34AM
Advertisement
Regulator metes out series of sanctions for pre-signed account forms

Four of the reps being disciplined come from the same firm.

INVESTMENT | October 08 2021 03:55PM
IFSE launches alternative mutual fund and hedge fund bridge course

The course will provide new registrants with the foundations needed to understand and sell alternative mutual funds and …

INVESTMENT | February 01 2021 11:30AM