Mutual fund rep fined close to $1.7-million

Outside business activities put former approved person’s interests ahead of clients’ interests.

INVESTMENT | April 12 2024 03:07PM
Sanctions for pre-signed forms levied against former Fredericton rep

Regulator enters settlement agreement fining representative who resigned in 2022.

INVESTMENT | April 11 2024 03:06PM
Claim exaggerations are the most common form of fraud

New survey examines fraud detection and prevention in the insurance industry globally.

P&C | March 18 2024 10:26AM
The number of stolen vehicles in Canada remained stable in 2023

Équité Association compiled data provided by law enforcement agencies.

P&C | February 09 2024 04:08PM
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
Representative thrown out of the industry 10 years for outside activities

Referral arrangement also prohibited.

INVESTMENT | January 30 2024 10:37AM
Fine and permanent ban ordered for representative who borrowed money

Vulnerable client loses $138,509 over more than three years.

INVESTMENT | January 29 2024 04:02PM