Enforcement

Markets

AMF handed down almost $9 million in monetary sanctions last year

March 29, 2017 James Langton
Regulation

IIROC settlement with former rep “inadequate”?

March 28, 2017 James Langton
Regulation

BCSC receives funds in Kuit case

March 21, 2017 James Langton
Regulation

HollisWealth reaches settlement with MFDA

March 14, 2017 IE Staff
Regulation

BCSC, MFDA reach settlement with B.C. man

March 14, 2017 Beatrice Paez
Regulation

ASC sanctions Calgary man who violated previous settlement

March 14, 2017 Beatrice Paez
Regulation

IIROC fines former Jacob Securities CEO $100,000

March 10, 2017 Beatrice Paez
Regulation

Former J.P. Morgan executives may face bans, fines

March 10, 2017 James Langton
Regulation

BCSC fines sisters almost $10 million for role in real estate fraud schemes

February 28, 2017 James Langton
Greater engagement with indigenous communities needed: SHARE
Regulation

IIROC lays $80,000 fine, five-year ban on former advisor

February 28, 2017 James Langton
Industry

Manulife confirms FINTRAC fined its banking unit $1.15 million last year

February 27, 2017 Megan Harman
Manulife confirms FINTRAC fined its banking unit $1.15 million last year
Regulation

CSA reports decline in enforcement activity in 2016

February 27, 2017 James Langton