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Former advisor fined and banned

The MFDA has banned a former representative for five years and imposed a fine of $15,000 plus costs.

INVESTMENT | January 13 2021 09:30AM
Advisor fined $16,000

An advisor was fined $16,000 plus a specialty penalty after changing pre-signed account firms.

INVESTMENT | January 12 2021 02:54PM
Ontario advisor permanently banned

Both MFDA and IIROC make allegations against advisor.

INVESTMENT | January 07 2021 09:30AM
Fund company fined after failing to maintain certain level of capital

Fund company ordered to pay fine for failing to maintain capital level.

INVESTMENT | January 04 2021 10:45AM
BCSC moves to remove LTA forms

No longer any need for LTA forms, says BCSC.

INVESTMENT | January 04 2021 10:23AM
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Ontario regulator provides insight on title protection rules

At a symposium, FSRA discussed its position on how title protection will work and what the implications are for advisors…

INVESTMENT | December 18 2020 04:26PM
Advisor fined for making switches without clients’ express approval

Sun Life advisor fined for discretionary trading without proper skill

INVESTMENT | December 11 2020 02:00PM