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Global penalty and disgorgement ordered in discretionary trading case

Registered representative ordered to pay $386,492.

INVESTMENT | February 29 2024 09:57AM
Operating advice website under a pseudonym an outside business activity

Rep also fined and banned for processing transactions to increase his commission.

INVESTMENT | February 28 2024 10:05AM
Compensating clients directly leads to termination, suspension and fine

Failing to report client complaints, misleading firm results in six-month ban and $20,000 fine.

INVESTMENT | February 27 2024 09:59AM
List of transgressions attracts $25,000 fine

Representative attempts to pay off client following complaint.

INVESTMENT | February 26 2024 10:10AM
More than five years of improperly altered client forms results in sanction

Regulator fines dealing representative $28,000, reserves decision on costs.

INVESTMENT | February 23 2024 10:36AM
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Agent fined for missing continuing education while license was inactive

Regulator metes out sanctions in multiple continuing education cases.

LIFE INSURANCE | February 20 2024 03:31PM
Saskatchewan licensee receives small fine for failing to maintain liability insurance

Backdated errors and omissions policy not sufficient coverage, council finds.

LIFE INSURANCE | February 20 2024 10:06AM