IIROC fines BMO Nesbitt Burns $50K

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) announced it has accepted a settlem

INVESTMENT | October 22 2019 01:30PM
Regulator settles with four men in illegal distribution case

The British Columbia Securities Commission (BCSC) announced it has reached settlement agreements with three B.C. men and

INVESTMENT | October 22 2019 11:47AM
Regulator issues over $300K in fines and costs

The Investment Industry Regulatory Organization of Canada (IIROC) has fined the Mackie Research Capital Corporation (MRC

INVESTMENT | October 21 2019 01:00PM
Regulator fines licensee for missing CE credits

A British Columbia life insurance agent is being fined $1,500 by the Insurance Council of British Columbia (ICoBC) for f

LIFE INSURANCE | October 21 2019 09:30AM
ICoBC hands out multiple fines for compliance failures

Two firms and their nominee are ordered to pay more than $46,000 in fines and costs, following an investigation by the I

P&C | October 18 2019 02:35PM
Regulator reprimands BC insurance agent

The Insurance Council of British Columbia (ICoBC) has taken the unusual step of reprimanding one of its licensees, witho

P&C | October 18 2019 09:55AM
Manitoba regulator fines operating agent

The General Insurance Council of Manitoba published its decision to fine Dominic Anthony Albanese, operating agent of Op

P&C | October 15 2019 09:46AM