Dealing representative illegally sold partnership agreements to investors
The ASC has reciprocated bans against two individuals who traded securities without registration
Ex-registered rep made unsuitable recommendations and unauthorized discretionary trades for a client
Financial Conduct Authority levies first fine under new penalty regime
Reciprocal bans placed on Michael Shantz, Canada Pacific
RBC DS rep failed to use proper due diligence in recommending investment product to client
Regulator issues update on proposed enforcement initiatives in advance of policy meeting
Canadian-listed Chinese firm to pay $200,000 penalty, $100,000 in costs
Former Union Securities rep ordered to pay $60,000 in fines and costs
But the association is worried about FSCO’s efforts to combat auto insurance fraud