OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees
Regulator alleges investment fund manager violated mutual fund sales practices rule
Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs
More than half of the cases heard by FPSC’s disciplinary hearing panel in 2017 resulted in a suspension
Senior citizen duped into paying $90,000 for worthless shares
Amendments will allow IIROC and the MFDA to enforce penalties as court orders
The Ontario regulator seeks five mediators to join its roster
The mutual fund company has agreed to pay more than $1 million in penalties and costs for violating sales practices rules
Machine learning could help regulators improve oversight
Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity