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ASC sanctions offshore firm for unregistered trading

The Alberta Securities Commission (ASC) announced today that it has accepted a settlement agreement between the ASC and

INVESTMENT | January 20 2020 04:00PM
Conflict of interest leads to one-year ban, plus fines for fund rep

A Mutual Fund Dealers Association of Canada (MFDA) hearing panel announced it has approved a settlement agreement, with

LIFE INSURANCE | January 20 2020 11:30AM
MFDA fines former rep $100K

A hearing panel of the Mutual Fund Dealers Association of Canada (MFDA) has permanently banned former CIBC Securities In

INVESTMENT | January 17 2020 01:05PM
Unsuitable client trades end in sanctions for IIROC-registered rep

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement

INVESTMENT | January 15 2020 10:06AM
De-registered broker found guilty on twelve additional counts

On Nov. 19, 2019, the Discipline committee of the Chambre de l’assurance de dommages (ChAD) found ex-broker Sébastien Ve

P&C | January 14 2020 10:52AM
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IIROC levies $90k in fines and costs

The Investment Industry Regulatory Organization of Canada (IIROC) announced it has accepted a settlement agreement, with

INVESTMENT | January 13 2020 12:05PM
AMF investigation results in jail sentence

Repeat offender Francis Mailhot was sentenced by the Court of Québec to serve 90 days in jail and pay fines totaling $13

INVESTMENT | January 10 2020 12:34PM