Enforcement

Regulation

P.E.I. gives IIROC stronger enforcement powers

January 31, 2017 James Langton
Regulation

B.C. insurance regulator cancels life agent’s licence

January 30, 2017 James Langton
Regulation

MFDA bans advisor for conducting unauthorized trades on client’s behalf

January 27, 2017 Tessie Sanci
Regulation

SEC sanctions Citigroup for overbilling certain advisory clients

January 26, 2017 James Langton
Regulation

MFDA bans advisor for personal financial dealings with a client

January 26, 2017 Tessie Sanci
Regulation

B.C. life insurance agent suspended for five years

January 23, 2017 James Langton
Regulation

MFDA fines former advisor $950,000

January 12, 2017 Tessie Sanci
Regulation

MFDA rep banned for misappropriating client money to repay personal debts

January 6, 2017 Tessie Sanci
Regulation

NSSC issues cease trade order against former mutual fund salesperson

December 23, 2016 James Langton
Regulation

FINRA fines 12 firms a total of US$14.4 million

December 21, 2016 James Langton
Regulation

IPC to pay $100,000 as part of settlement with the MFDA

December 14, 2016 Tessie Sanci
Regulation

ASC and RCMP to launch a JSOT for Alberta

December 7, 2016 James Langton
New Alberta law to give SROs greater powers