Regulator levies fine of $125,000

Misappropriation, outside business activities also result in permanent ban from registration.

INVESTMENT | November 03 2023 03:55PM
Profitable but unsuitable recommendations results in sanctions

Client makes unsolicited pandemic withdrawal, advisor fined for suitability concerns.

INVESTMENT | September 25 2023 10:39AM
Sun Life moves to acquire Dialogue

Shareholders offered premium of 43.1 per cent over company’s closing price on July 25.

INVESTMENT | July 26 2023 10:35AM
Life insurance: Financial results of 25 insurers in Canada in 2022

Life insurance companies boosted their net income in 2022 compared with the previous year.

LIFE INSURANCE | June 22 2023 10:55AM
iA Financial appoints new wealth management executive

Tasked with growth mandate, new executive vice president will oversee four businesses.

LIFE INSURANCE | January 25 2023 02:52PM
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Regulator fines National Bank Financial $250,000 plus investigation costs

Settlement agreement says firm’s policies provided guidance but did not provide adequate controls.

SOCIETY | October 20 2022 04:18PM
Quebec arm of investment funds organization re-elects chair

CFIQ also has two new members on its board.

SOCIETY | September 02 2022 05:09PM