Agent and agency fined after self-reported unlicensed activity

The Alberta Insurance Council has fined an agency and its agent after the representative reported that he had been compe…

LIFE INSURANCE | September 30 2020 01:15PM
MFDA fines fund rep for conducting outside business activities

The MFDA has fined and suspended a former dealing representative after he began selling syndicated mortgage investments …

INVESTMENT | September 28 2020 12:37PM
IIROC fines representative for failing to flag suspicious trading

IIROC has fined and sanctioned an Industrial Alliance Securities representative $50,000 after he admitted he failed to f…

INVESTMENT | September 25 2020 09:19AM
BC regulator fines agent for missing CE credits

The Insurance Council of British Columbia is fining a life, accident and sickness insurance agent for failing to meet th…

LIFE INSURANCE | September 23 2020 02:00PM
FSRA imposes administrative penalty

An Ontario insurance agent has been ordered to pay a $5,000 administrative penalty, announced the Financial Services Reg…

INVESTMENT | September 22 2020 02:45PM
Halifax investment advisor fined $90,000

The Investment Industry Regulatory Organization of Canada has fined and sanctioned a Halifax-based advisor who failed to…

INVESTMENT | September 21 2020 02:08PM
PEAK Securities fined $130,000

PEAK Securities Inc. is the latest PEAK Financial Group Inc. subsidiary to be hit with regulatory fines and sanctions.

INVESTMENT | September 18 2020 02:35PM