Scholarship plan dealer reprimanded for compliance deficiencies
Rep introduced scholarship plan clients to an investment program beyond his registration
Settlement accepted on supervisory failings
Children’s Education Funds moves to strengthen compliance systems
Knowledge First must file report by May 2015
Regulator alleges Global RESP and officers violated securities laws
New “plan summary” is designed to provide investors with key information in a simple, plain language format
OSC outlines monitor’s duties
Compliance issues at the heart of the review
Regulators extends temporary orders involving Knowledge First Financial and Heritage Education Funds