Firms to pay more than US$400 million over mortgage-backed securities
Regulator says CPP failed to treat customers fairly and did not provide clear information
This year’s caseload includes an increasing number of cases involving highly complex products, transactions, and practices
Dealer and branch manager sanctioned for lax supervision of leveraged ETF recommendations
Calgary broker borrowed money from clients, reimbursed a client for losses
Victor Alboini sanctioned for violating rules
Renovations to Toronto hearing rooms lead to venue change
Call centre rep used funds to pay down personal debt
Medra must put in writing that it will not disclose the documents to third parties
Criminal enforcement gathering momentum with the goal of sending a strong deterrence message