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Agent sanctioned in British Columbia for not disclosing Ontario disciplinary history

The agent was fined after the insurance council discovered his undisclosed history of being sanctioned by the Registered…

P&C | October 25 2021 03:00PM
Regulator fines agents for pre-signed and altered forms

One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…

INVESTMENT | October 25 2021 09:45AM
Former agent fined $110,000 for theft and fraud

She admitted to requesting payments from clients before depositing those payments into her personal bank account and for…

LIFE INSURANCE , P&C | October 21 2021 04:00PM
Advisor suspended and levied a hefty fine

He received a four-year suspension.

INVESTMENT | October 15 2021 04:01PM
Lack of knowledge and insufficient legal advice leads to $1.6-million settlement

OSC points out importance of registration, legal advice and compliance.

INVESTMENT | October 15 2021 10:42AM
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Saskatchewan agency fined for errors and omissions lapse

The agency’s E&O coverage lapsed for 16 days in 2020.

LIFE INSURANCE | October 15 2021 08:13AM
Securities commission adds monetary penalty to MFDA decision

In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C…

INVESTMENT | October 13 2021 01:50PM