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Company: Investors Group

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Fund rep could fill out basic information, but not KYC info, on investment dealer accounts


Rep recruited tenant as a client without firm's permission

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Quebec court cites statutory immunity in dismissing claim

Business lawyer team. Working together of lawyer in the meeting.

B.C. court strikes certain claims in rep's wrongful dismissal suit


MFDA alleged client gave rep access to bank account while travelling


SRO alleged rep took money from a client who was a fellow fund rep

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

Rep fined after switching a nonagenarian's account into a DSC fund


Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found

Financial accounting business sheet calculator

Panel handed down tougher sanctions than SRO sought

blue curtain of a classical theater

Christine Van Cauwenberghe to oversee wealth, advisor training and financial specialist teams