Alberta sanctions include $125,000 in hearing costs for promoter

“Disingenuous” constitutional arguments drag hearing out, costing regulator more than $162,480.

INVESTMENT | September 29 2022 09:42AM
Fund salesperson banned for outside activities

Regulator issues notice of proposal to revoke insurance licenses as well.

LIFE INSURANCE | September 23 2022 03:46PM
Rep sanctioned for third party app usage and failing to act as gatekeeper

More than $90,000 in fines, commission disgorgement and costs ordered after representative admits to ignoring red flags.

INVESTMENT | September 22 2022 02:49PM
Regulator extends license suspension for agent accused of fraud

Ontario adds two months to existing 10-month suspension, along with continuing education and supervisory conditions.

LIFE INSURANCE | September 21 2022 10:18AM
Agent fined for disclosing confidential client information to a third party

Discusses the insurability of a property his client was purchasing, causing the sale to fall through.

P&C | September 19 2022 10:45AM
Agent suspended one year for fraudulent disability claims on own policy

Agent also fined, assessed costs, ordered to undergo remedial education and must submit to two years of supervision.

P&C | September 16 2022 03:35PM
Firm fined for failing to disclose litigation against it

Saskatchewan insurance council imposes penalty after firm fails to disclose legal actions commenced.

LIFE INSURANCE | September 14 2022 04:00PM