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Regulator cautions investors about a crypto asset firm

Crypto asset firm falsely claims to be IIROC-regulated.

INVESTMENT | June 07 2022 10:31AM
Retired representative fined $80,000 for outside business activities

The former Burlington, Ontario representative retired in April 2020 and is not currently registered.

INVESTMENT | June 03 2022 09:00AM
Regulator imposes $5-million penalty

IIROC also permanently banned the individual from registration in any capacity.

INVESTMENT | June 02 2022 03:30PM
Former rep fined $150,000

The former IIROC registered representative is also prohibited from working in supervisory positions for a period of 18 m…

INVESTMENT | June 01 2022 10:14AM
Incorporation of mutual fund advisors not part of new SRO’s agenda

Quebec regulator, the AMF, clarified the transition to the new framework.

INVESTMENT | May 31 2022 10:22AM
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Representatives sanctioned for accepting sport and charity sponsorships

Two reps have agreed to pay a fine each of $10,000, disgorge $65,571.44 and pay costs totalling $5,000 after entering in…

INVESTMENT | May 24 2022 09:24AM
Institute for Advanced Financial Education recognized as a third-party accreditor

Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c…

INVESTMENT | May 17 2022 10:40AM