The agent was fined after the insurance council discovered his undisclosed history of being sanctioned by the Registered
One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo
She admitted to requesting payments from clients before depositing those payments into her personal bank account and for
He received a four-year suspension.
OSC points out importance of registration, legal advice and compliance.
The agency’s E&O coverage lapsed for 16 days in 2020.
In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C