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
Regulator levies $10,000 fine for signature falsification

Retired dealing representative does not intend to return to the industry.

INVESTMENT | January 20 2023 10:30AM
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
Ontario regulator extends timeline to obtain credentials

Title protection framework work focused on approving credentialing bodies

INVESTMENT | December 22 2022 03:05PM
Misappropriation results in permanent ban, $315,000 fine and costs

Mutual fund representative also ignored regulator’s investigation into his conduct.

INVESTMENT | December 16 2022 10:40AM
Defunct Wealthsimple Advisor fined

Firm also accessed another firm’s back office using would-be rep’s login credentials.

INVESTMENT | November 30 2022 10:40AM