$500,000 penalty a strong deterrent, OSC panel says, and the firm has spent substantially more to upgrade its systems
The bank’s penalty was substantially reduced in recognition of its self-reporting and co-operation
Court orders Daniel Tiffin to pay restitution to clients who purchased promissory notes
The advisor later admitted to making unsuitable recommendations to clients
A female advisor misappropriated more than $31,000 from her father, who was a client
Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
Credit rating agency agrees to pay more than US$16 million in penalties
The commission set aside the decisions of an IIROC hearing panel and substituted its own decisions
Harold Backer induced clients to invest in non-existent mutual funds