Insurance CEOs discuss outlook at recent financial summit

Distribution, acquistions and excess capital deployment all top of mind for executives.

SOCIETY | September 27 2023 10:58AM
Sanctioned registered rep has insurance license revoked

Representative, the subject of multiple regulatory investigations, held the last of three licenses to be decided on by O…

LIFE INSURANCE | August 18 2023 03:34PM
Failure to follow policies and procedures lands advisor in hot water

Regulator penalizes representative with $40,000 in fines for know-your-client failures.

INVESTMENT | August 15 2023 03:46PM
Representative pays $19,000 fine plus costs for photocopied signature pages

Regulator warns that those who engage in similar conduct will face meaningful penalties.

INVESTMENT | August 01 2023 10:33AM
Members approve new regulator’s name

Firms have until December 31, 2024 to make all necessary updates.

SOCIETY | April 26 2023 10:51AM
Oversight report published documenting self-regulatory activities in 2022

Canadian Securities Administrators notice also discusses investor protection fund developments.

INVESTMENT | April 21 2023 10:51AM
Securities commission dismisses appeal of regulator’s decision

Representative ignored branch manager and processed trades for client who died.

INVESTMENT | April 17 2023 10:47AM