Former executives David Phillips and John Wilson get $18 million penalty for fraud
Comments on the proposed policy are due by Jan. 12, 2016
The regulator is also continuing its examination into the need for a “best interests” standard for financial advisors
“Immigration-linked investment schemes” raised $6.68 million
Rep admitted to using pre-signed forms a for convenience
Prospective committee members are expected to have a strong interest in regulatory policy
A stay would allow brokers brokers Paul Azeff and Korin Bobrow to engage in registerable activities
Hearing to consider reciprocal order
Client given false monthly statements
Summaries of exempt distribution information will be posted on the commission’s website