MENU
Ontario advisor fined for altering forms without consent

Advisor fined $13,500 for altering forms.

INVESTMENT | July 26 2021 12:28PM
Advisor banned for five years

He recommended that 25 clients concentrate their holdings in precious metals sector mutual funds.

INVESTMENT | July 21 2021 12:26PM
Securities regulators issue warning about fake emails

Several registrants have received e-mails that purport to come from Canadian Securities Administrators staff.

INVESTMENT | July 16 2021 12:55PM
Regulators finalize rules requiring collection of trusted contact person information

Advisors will be required to collect the name and contact information of a trusted contact person (TCP) from vulnerable …

SOCIETY | July 16 2021 11:53AM
Regulator sanctions advisor for inappropriate deferred sales charge fund sale

The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha…

INVESTMENT | July 15 2021 11:46AM
Advertisement
Representative banned for opening fake accounts

The former rep and bank employee admitted to opening fictitious bank and mutual fund accounts to receive promotional mon…

INVESTMENT | July 09 2021 08:54AM
Former rep banned

Borrowing from friends and an undisclosed consumer proposal led to the ban.

INVESTMENT | July 05 2021 10:30AM