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gavel with $100-bill background

2017/18 report shows how regulators work collaboratively to address violators

Closeup of mallet being hit on stacked coins at table in courtroom

International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules

Gavel and legal books

The former advisor misappropriated client funds and and and created fictitious account statements

Closeup of mallet being hit on stacked coins at table in courtroom

Robert Sole took a job with a proprietary trading firm while suspended, violating the terms of a 2016 settlement agreement

Closeup of mallet being hit on stacked coins at table in courtroom

Mutual fund dealer fined $125,000 for compliance failings

  • By: IE Staff
  • June 22, 2018 June 22, 2018
  • 14:30
Investment Executive July 2018 front cover

Establishing “harm” is no easy task

Closeup of mallet being hit on stacked coins at table in courtroom

Former Aston Hill fund manager agrees to testify as a witness for the OSC

Businessman making presentation with his colleagues and business strategy digital layer effect at the office as concept

Regulator to consider allegations against portfolio and investment manager at July 3 hearing

Quebec National Assembly exterior

The legislation will boost the ability of self-regulatory organizations to carry out their mandates

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The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market