Regulator publishes compliance report for dealers

Summary includes current issues and compliance challenges regulated dealers should focus on.

INVESTMENT | March 22 2023 04:31PM
Regulator orders nearly $2.5-million in fines and costs for misappropriation

Representative also permanently banned from both registration and future employment.

INVESTMENT | March 07 2023 03:55PM
Regulator levies two fines for discretionary trading and misleading investigators

Liability decision resulted in the end of respondent’s employment in the industry.

INVESTMENT | February 08 2023 03:10PM
New regulator considers returning disgorged funds to harmed investors

Request for comment focuses on eligibility, administration challenges and proposed processes.

INVESTMENT | February 03 2023 10:53AM
New self-regulatory organization appoints investor advisory panel

Selected in December, panelists tasked with job of conveying investor concerns to regulator.

INVESTMENT | January 20 2023 03:16PM
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Financial advisor banned for 30 months and fined $20,000

Advisor penalized after admitting to ‘facilitating stealth advising’.

INVESTMENT | January 06 2023 10:39AM
New self-regulatory organization launches officially

Investor protection funds also merge.

INVESTMENT | January 04 2023 10:38AM