Respondents distributed loan agreements without obtaining a receipt from the AMF
Instrument designed to provide harmonization, opportunity to make minor enhancements and consequential amendments
Citigroup also ordered to review its policies, systems, procedures and training relating to sales charge waivers in mutual fund transactions
Now, claims less than US$200,000 will be decided by a single public arbitrator
The firm charged excessive fees and improperly maintained customers in non-managed fee-based accounts
But U.S. regulator is moving forward on new proposals, including a new anti-fraud rule
Stewart also agrees to five-year ban from serving as a director of a public company
Insufficient evidence to prove allegations against B.C. businessman Daryl Desjardins
BRUT published order execution reports with critical errors for almost five years
Legislation is expected to take effect at yearend