Proposed settlement concern the dealer’s oversight of fee-based accounts
The revised guidelines adopt a principles-based approach to meting out disciplinary penalties
Questions and answers provide an overview of procedures for commission enforcement proceedings
The BCSC had applied to renew a $250,000 penalty before the limitation period expires
Ontario advisor referred clients to invest in syndicated mortgages off book
Administrative penalties total nearly $1 million
Ontario woman guilty of selling fraudulent promissory notes
One client lost $30,000 and another lost $212,000 as a result of advisor’s misconduct
Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit
The Cyprus-based firm allowed Ontario investors to trade contracts for difference