Assante Capital Management Ltd. | Investment Executive https://www.investmentexecutive.com/post_company/assante-capital-management-ltd/ Canada's news source for financial professionals Wed, 04 Jun 2025 13:17:20 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Assante Capital Management Ltd. | Investment Executive https://www.investmentexecutive.com/post_company/assante-capital-management-ltd/ 32 32 Fund rep sanctioned for crypto trading https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-sanctioned-for-crypto-trading/ Wed, 04 Jun 2025 13:17:20 +0000 https://www.investmentexecutive.com/?p=511499 Contracts to trade crypto for clients amounted to securities, regulators said

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]]> Ex-rep admits to misappropriating millions https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-admits-to-misappropriating-millions/ Mon, 07 Apr 2025 21:18:05 +0000 https://www.investmentexecutive.com/?p=506482 Former Assante rep agrees to ban, $2.3 million in sanctions

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]]> Assante fined $400K for failing to supervise branch properly https://www.investmentexecutive.com/news/from-the-regulators/assante-fined-400k-for-failing-to-supervise-branch-properly/ Tue, 27 Oct 2015 17:45:00 +0000 https://www.investmentexecutive.com/uncategorized/assante-fined-400k-for-failing-to-supervise-branch-properly/ The branch in Red Deer, Alta., was staffed by former advisor Brian Malley, who was convicted of murdering a client earlier this year

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]]> Ex Assante advisor violated IIROC rules https://www.investmentexecutive.com/news/from-the-regulators/ex-assante-advisor-violated-iiroc-rules/ Tue, 01 Apr 2014 20:55:00 +0000 https://www.investmentexecutive.com/uncategorized/ex-assante-advisor-violated-iiroc-rules/ Brian Malley has been charged in the death of a client and is facing a class action suit from several former clients

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]]> Class action against former advisor to proceed https://www.investmentexecutive.com/news/industry-news/class-action-against-former-advisor-to-proceed/ Thu, 13 Mar 2014 20:25:00 +0000 https://www.investmentexecutive.com/uncategorized/class-action-against-former-advisor-to-proceed/ Brian Malley is accused of first-degree murder in the death of a client

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]]> Assante rep fined for hiding involvement in resources firm https://www.investmentexecutive.com/news/from-the-regulators/assante-rep-fined-for-hiding-involvement-in-resources-firm/ Tue, 21 Jun 2005 19:46:00 +0000 https://www.investmentexecutive.com/uncategorized/assante-rep-fined-for-hiding-involvement-in-resources-firm/ IDA reprimands Taylor

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