En raison de la grève de Postes Canada, il y aura un délai dans la livraison des livres.

Photocopied signatures costs dealing representative $24,000

Employed since 1997, representative sanctioned for 2020 improprieties uncovered during review.

INVESTMENT | April 11 2023 10:46AM
Regulator revokes agent and corporate insurance licenses for unsuitable conduct

Announcement states there are reasons to believe agent won’t conduct business lawfully.

L&H | April 05 2023 04:14PM
Dealing representative fined for unauthorized redemption

Facilitated trade that allowed client’s spouse to abscond with $10,000.

INVESTMENT | April 04 2023 10:52AM
Errors and omissions lapse costs agent $1,000

Coverage ended when he resigned from one firm, error not discovered until a year later.

SOCIETY | March 31 2023 04:44PM
Ontario regulator orders $90,000 in fines

Unlicensed trio ordered to cease acting as insurance agents.

P&C | March 27 2023 10:48AM
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Regulator orders $275,000 fine

Borrowing money from clients and misleading member also ends in permanent ban.

INVESTMENT | March 14 2023 10:44AM
Representative banned for personal financial dealings with another reps’ clients

After launching a daycare, representative also ordered to pay $25,000 in fines and costs.

INVESTMENT | March 14 2023 10:32AM