Members approve new regulator’s name

Firms have until December 31, 2024 to make all necessary updates.

SOCIETY | April 26 2023 10:51AM
Oversight report published documenting self-regulatory activities in 2022

Canadian Securities Administrators notice also discusses investor protection fund developments.

INVESTMENT | April 21 2023 10:51AM
Securities commission dismisses appeal of regulator’s decision

Representative ignored branch manager and processed trades for client who died.

INVESTMENT | April 17 2023 10:47AM
British Columbia joins other jurisdictions in banning W.H. Stuart principal

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

INVESTMENT | April 14 2023 10:17AM
Failure to cooperate with regulator ends in permanent ban and $40,000 penalty

Terminated and retired representative sanctioned for not participating in investigation.

INVESTMENT | April 12 2023 10:42AM
Regulator revokes agent and corporate insurance licenses for unsuitable conduct

Announcement states there are reasons to believe agent won’t conduct business lawfully.

LIFE INSURANCE | April 05 2023 04:14PM
Dealing representative fined for unauthorized redemption

Facilitated trade that allowed client’s spouse to abscond with $10,000.

INVESTMENT | April 04 2023 10:52AM