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Twelve reps at a branch in Mississauga, Ont. falsified KYC information in order to obtain investment loans

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Proposals reflect trends toward a principles-based approach to sanctioning

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Ontario advisor violated securities rules by borrowing funds from several insurance clients

  • May 17, 2018 May 17, 2018
  • 11:00
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Advisor did not comply with the dealer’s own guidelines for leveraged ETFs

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Trading in multiple accounts created a misleading appearance of market activity

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Enforcement tool enables regulators to resolve cases more quickly

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The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having an impact

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David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”

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Monetary sanctions levied against both mutual fund dealers and mutual fund advisors totalled $8.5 million in 2017

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MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA