The regulator found the firm breached registration rules by repeatedly missing deadlines
Fees and registration are the focus of two CSA campaigns this month
The registrations for Wells Asset Management System were terminated
The firm was also suspended in Alberta, B.C., Manitoba and Saskatchewan
The RAC serves as a forum to discuss compliance and registration issues
Terms and conditions proposed by settlement agreement provide a means to detect or prevent future misconduct
The inability to successfully pass the exam after four attempts demonstrates that the rep lacks the requisite proficiency
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
Hearing panel rules rep unsuitable based on a lack of proficiency and integrity
The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail