Representative thrown out of the industry 10 years for outside activities

Referral arrangement also prohibited.

INVESTMENT | January 30 2024 10:37AM
Most popular life insurance articles of 2023

The Insurance Portal invites you to read or re-read our ten most popular life insurance articles of 2023.

LIFE INSURANCE | December 25 2023 10:00AM
Assistant terminated and sanctioned for two years over pre-signed forms

Four sanctioned in total after principal approved person reports his licensed assistant.

INVESTMENT | December 13 2023 04:29PM
Assistant conducting business outside of their registration, costs rep $5,000 fine

Licensed assistant not registered outside of Ontario.

INVESTMENT | November 16 2023 10:11AM
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
Pre-signed forms met with very different sanctions in different cases

35 pre-signed forms costs representative $10,000; thousands of forms attracts $70,000 sanction.

INVESTMENT | July 27 2023 03:30PM
Photocopied signatures costs dealing representative $24,000

Employed since 1997, representative sanctioned for 2020 improprieties uncovered during review.

INVESTMENT | April 11 2023 10:46AM