En raison de la grève de Postes Canada, il y aura un délai dans la livraison des livres.

British Columbia joins other jurisdictions in banning W.H. Stuart principal

Marilyn Stuart permanently banned from any trading or acting as an officer or director.

INVESTMENT | April 14 2023 10:17AM
Failure to cooperate with regulator ends in permanent ban and $40,000 penalty

Terminated and retired representative sanctioned for not participating in investigation.

INVESTMENT | April 12 2023 10:42AM
Regulator revokes agent and corporate insurance licenses for unsuitable conduct

Announcement states there are reasons to believe agent won’t conduct business lawfully.

LIFE INSURANCE | April 05 2023 04:14PM
Dealing representative fined for unauthorized redemption

Facilitated trade that allowed client’s spouse to abscond with $10,000.

INVESTMENT | April 04 2023 10:52AM
Hearing panel accepts settlement with GP Wealth Management Corp.

Firm sanctioned for failing to detect uniformity in information recorded by terminated advisor.

INVESTMENT | April 03 2023 10:41AM
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Regulator publishes compliance report for dealers

Summary includes current issues and compliance challenges regulated dealers should focus on.

INVESTMENT | March 22 2023 04:31PM
Insurance council bans rep for five years for borrowing money from clients

Mutual fund regulator’s case is ongoing.

LIFE INSURANCE | March 09 2023 04:28PM