Names and sanctions re-published in annual consolidated report.
Distribution, acquistions and excess capital deployment all top of mind for executives.
Representative, the subject of multiple regulatory investigations, held the last of three licenses to be decided on by O
Regulator penalizes representative with $40,000 in fines for know-your-client failures.
Regulator warns that those who engage in similar conduct will face meaningful penalties.
Firms have until December 31, 2024 to make all necessary updates.
Canadian Securities Administrators notice also discusses investor protection fund developments.