She admitted to requesting payments from clients before depositing those payments into her personal bank account and for
John Morin, considered pivotal to brokerage firm development in Canada, has turned a page.
He received a four-year suspension.
OSC points out importance of registration, legal advice and compliance.
The agency’s E&O coverage lapsed for 16 days in 2020.
The firm has a large clientele in the manufacturing, construction and real estate sectors.
In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C