Penalty levied against former agent for failing to disclose second job

Former life, accident and sickness insurance agent, Mary Grace Toribio, will pay a $200 civil penalty after agreeing to

LIFE INSURANCE | July 08 2020 03:00PM
Failure to disclose bankruptcy results in civil penalty

The Alberta Insurance Council (AIC) has issued an agreed statement of facts and joint submission between the AIC and gen

LIFE INSURANCE | July 08 2020 01:30PM
IIROC fines firm $500,000

A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) has sanctioned both Richardson GMP

INVESTMENT | July 06 2020 01:39PM
Keybase Financial Group levied a $35,000 fine

Keybase Financial Group has been levied a $35,000 fine, plus costs, after it failed to adequately handle a number of cli

INVESTMENT | July 03 2020 08:27AM
BC woman violates BCSC order

A Burnaby, B.C. woman who had been permanently banned by the British Columbia Securities Commission (BCSC) in 2017 has b

INVESTMENT | July 02 2020 12:25PM
False information and unsuitable leverage strategies net former advisor $125K fine

The Mutual Fund Dealers Association of Canada (MFDA) announced it is fining Lachman Hassaram Balani, a former Shah Finan

INVESTMENT | June 19 2020 01:30PM
Brokerage service provider fined for trading supervision deficiencies

Electronic trading and brokerage services provider, Instinet Canada Limited, will pay a fine, plus costs after an Invest

INVESTMENT | June 18 2020 11:26AM