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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
Lax note-keeping and pre-signed forms results in $26,000 fine

Representative also ordered to pay costs in the amount of $5,000.

INVESTMENT | February 15 2024 10:18AM
Regulator sanctions agents who failed to respond to demand for information

Two separate cases end in monetary penalties for agents who ignored letters from council.

LIFE INSURANCE | February 14 2024 03:15PM
Three years of incomplete continuing education credits costs $3,000

Mitigating conduct leads council to give agent additional time to pay fine.

LIFE INSURANCE | February 14 2024 10:24AM
Dealing rep banned for false and misleading statements

Fictitious broker notes intended to conceal forgery also discovered during investigation.

INVESTMENT | February 09 2024 10:06AM
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Former approved person fined $2.5-million and thrown out of the industry for fraud

Claims to have assisted under duress when employer defrauded lenders to buy firm.

INVESTMENT | February 08 2024 10:16AM
Misappropriation leads to $100,000 fine and permanent ban

Former dealing representative sanctioned after opening multiple accounts in client’s name.

INVESTMENT | February 05 2024 04:23PM