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Tuesday March 12, 2019
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From the Regulators
BCSC panel orders "pump-and-dump" backers banned, fined
Sanctions ordered against three people and a firm
March 11, 2019

Products
Great-West Life launches digital insurance application
SimpleProtect is designed to speed up the application process for clients and advisors
March 12, 2019

From the Regulators
ASIC scolds firms for slow reviews of systemic advice failures
The regulator plans to take action against firms that engaged in misconduct
March 12, 2019

From the Regulators
SEC settles with scores of firms that admitted trailer fee disclosure failures
The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
March 11, 2019

From the Regulators
ASC settles with lawyer over alleged market manipulation scheme
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
March 11, 2019

From the Regulators
Auditor, regulator convicted of cheating oversight process
Convictions stem from a scheme to access confidential information about audits
March 12, 2019

Appointment Notices
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