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Enforcement
Enforcement
Regulation
MFDA to consider proposed settlement with Sun Life dealer
December 19, 2017
James Langton
Regulation
Investors Group to pay $750,000 for overcharging clients
December 18, 2017
James Langton
Regulation
OSC upholds IIROC disciplinary decision
December 5, 2017
James Langton
Regulation
OSC panel declines to suspend Omega Securities
November 24, 2017
James Langton
Regulation
Convicted securities law violator pleads guilty to further charges
November 23, 2017
James Langton
Regulation
SEC to focus on defending retail investors
November 16, 2017
James Langton
News
IIROC’s big jump in enforcement activity
October 27, 2017
James Langton
Regulation
BCSC bans pair for market manipulation
October 26, 2017
James Langton
Regulation
Compliance failures at heart of Global RESP chairwoman’s rejected UDP application
October 25, 2017
James Langton
Regulation
Execution Access settles with OSC
October 20, 2017
James Langton
Regulation
Investia fined for failing to supervise reps’ outside business activities
October 18, 2017
James Langton
Regulation
ASC announces “credit for co-operation” in enforcement matters
October 16, 2017
James Langton
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