Regulator fines CIBC World Markets

Billing errors between 2014 and 2021 refunded to clients and self-reported to enforcement staff.

INVESTMENT | December 26 2022 09:33AM
Ontario regulator extends timeline to obtain credentials

Title protection framework work focused on approving credentialing bodies

INVESTMENT | December 22 2022 03:05PM
Rep sanctioned after more than 3,000 pre-signed forms recovered

Representative personally signed 503 forms seized in internal investigation.

INVESTMENT | December 22 2022 10:38AM
Canadian regulators approve and recognize new self-regulatory organization

Recognition order, interim rules and fee guidelines published.

SOCIETY | November 29 2022 10:45AM
Penalties, costs and disgorgement exceed $5.9-million in misappropriation case

Representative permanently banned from registration.

INVESTMENT | November 25 2022 10:34AM
Joint regulators publish 2021 annual report

The report details the rate at which firms offer client compensation below Ombudsman’s recommendations.

INVESTMENT | November 10 2022 09:56AM
Former rep sanctioned for off-book transactions

Regulator says he failed in his gatekeeper obligations.

INVESTMENT | November 03 2022 04:45PM