Investors Group | Investment Executive https://www.investmentexecutive.com/post_company/investors-group/ Canada's news source for financial professionals Fri, 28 Nov 2025 20:59:28 +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 Investors Group | Investment Executive https://www.investmentexecutive.com/post_company/investors-group/ 32 32 Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> Rep throws gutter ball on disclosure https://www.investmentexecutive.com/news/from-the-regulators/rep-throws-gutter-ball-on-disclosure/ Wed, 24 Sep 2025 18:36:29 +0000 https://www.investmentexecutive.com/?p=521069 Failing to reveal clients' involvement in bowling businesses ends in sanctions

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]]> Supreme Court to hear rent dispute case https://www.investmentexecutive.com/news/from-the-regulators/supreme-court-to-hear-rent-dispute-case/ Thu, 26 Jun 2025 18:13:29 +0000 https://www.investmentexecutive.com/?p=513793 Court will rule on ability to repudiate lease, duty to mitigate damages

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]]> Rep fined, banned for stealing from a client https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-banned-for-stealing-from-a-client/ Fri, 20 Jun 2025 15:20:28 +0000 https://www.investmentexecutive.com/?p=513180 Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains

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]]> Former fund rep sanctioned for SRO rule breaches https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Rep had clients invest in, failed to disclose, his side hustles

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]]> Former fund rep sanctioned for exceeding registration https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-exceeding-registration/ Tue, 07 May 2024 20:47:38 +0000 https://www.investmentexecutive.com/?p=485422 Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

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]]> Former fund rep fined, banned over forgery https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-over-forgery/ Thu, 04 Jan 2024 22:09:34 +0000 https://www.investmentexecutive.com/?p=478061 Rep recruited tenant as a client without firm's permission

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]]> Former fund rep’s suit against Quebec regulator tossed https://www.investmentexecutive.com/news/from-the-regulators/former-fund-reps-suit-against-quebec-regulator-tossed/ Mon, 13 Mar 2023 19:51:56 +0000 https://www.investmentexecutive.com/?p=462145 Quebec court cites statutory immunity in dismissing claim

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]]> Firms have immunity to aid SRO investigations, court rules https://www.investmentexecutive.com/news/from-the-regulators/firms-have-immunity-to-aid-sro-investigations-court-rules/ Fri, 20 Jan 2023 19:37:11 +0000 https://www.investmentexecutive.com/?p=459018 B.C. court strikes certain claims in rep's wrongful dismissal suit

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]]> Former fund rep fined, banned for taking client’s money https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-for-taking-clients-money/ Fri, 09 Dec 2022 20:21:22 +0000 https://www.investmentexecutive.com/?p=457321 MFDA alleged client gave rep access to bank account while travelling

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