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Canadian regulators approve and recognize new self-regulatory organization

Recognition order, interim rules and fee guidelines published.

SOCIETY | November 29 2022 10:45AM
Failure to disclose bequest ends in eight-year ban

Regulator also levies more than $70,000 in sanctions for potential conflicts of interest.

INVESTMENT | November 24 2022 01:59PM
Bulk trading strategy ends in two-year ban

Experienced dealing representative fined $50,000 for trades made to maintain model portfolios.

INVESTMENT | November 18 2022 10:30AM
Pre-signed forms result in nine-month ban and $5,000 fine

Altered forms also discovered during 2020 branch audit.

INVESTMENT | November 18 2022 10:28AM
Joint regulators publish 2021 annual report

The report details the rate at which firms offer client compensation below Ombudsman’s recommendations.

INVESTMENT | November 10 2022 09:56AM
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Regulator bans mutual fund rep, fines him $750,000 plus costs

Unsuitable strategies, outside business activities and misappropriation among hearing panel’s findings.

INVESTMENT | November 08 2022 03:36PM
Representative sanctioned for paying clients for his errors

Pre-signed and altered account forms also discovered during the course of firm’s investigation.

INVESTMENT | November 07 2022 03:23PM