He admitted to engaging in personal financial dealings with clients and circumvented FINTRAC large cash transaction repo
The Investment Industry Regulatory Organization of Canada has permanently banned an advisor who was previously banned by
A general agent is being sanctioned after an insurance council investigated allegations brought to light by his former a
A former agent has agreed to pay a civil penalty for failing to properly classify client information on a number of insu
An insurance council has issued a decision after an agent self-reported that she’d inadvertently allowed an employee to
An insurance council imposed the maximum fine permitted in the case.
The Investment Industry Regulatory Organization of Canada has fined a representative $50,000 and will suspend him after