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Regulator imposes costs over $26K after licensee disputes intended decision

Failure to supervise dually licensed agents leads to sanctions for agency nominees.

P&C | July 26 2021 03:30PM
Ontario advisor fined for altering forms without consent

Advisor fined $13,500 for altering forms.

INVESTMENT | July 26 2021 12:28PM
Advisor sent to prison for evading income tax

Advisor who failed to report more than $2 million in taxable income sent to prison.

ENTREPRENEURSHIP | July 23 2021 04:00PM
Advisor banned for five years

He recommended that 25 clients concentrate their holdings in precious metals sector mutual funds.

INVESTMENT | July 21 2021 12:26PM
Manitoba regulator reduces penalty on compassionate grounds

A regulator has reversed its decision to fine an agent $10,000. Instead, he will be fined only $100 plus partial investi…

P&C | July 16 2021 01:56PM
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Regulator sanctions advisor for inappropriate deferred sales charge fund sale

The advisor admitted recommending a trade in a mutual fund that unnecessarily subjected a client to a deferred sales cha…

INVESTMENT | July 15 2021 11:46AM
Fines levied against licensees who fail to respond to demands for information

In two recent decisions, an insurance regulator has levied fines against an agent and a car dealership, respectively, af…

P&C | July 14 2021 02:30PM