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OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees

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Regulator alleges investment fund manager violated mutual fund sales practices rule

  • April 20, 2018 April 20, 2018
  • 11:50
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Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs

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More than half of the cases heard by FPSC’s disciplinary hearing panel in 2017 resulted in a suspension

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Senior citizen duped into paying $90,000 for worthless shares

Judge gavel, scales of justice and law books in court

Amendments will allow IIROC and the MFDA to enforce penalties as court orders

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The Ontario regulator seeks five mediators to join its roster

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The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules

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Machine learning could help regulators improve oversight

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Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity

  • By: IE Staff
  • March 21, 2018 March 21, 2018
  • 13:00