Former rep hit with $850,000 fine for breaching a variety of SRO rules
Ontario's securities regulator warns firms to seek registration ahead of the upcoming regulatory transition
The unlicensed firm helped brokers raise over $900 million in syndicated mortgage loans
Regulators harmonize exemptions and enhance disclosure requirements
Covid-19 has delayed the CSA's oversight regime
Mortgage brokers can provide shorter disclosure forms to "sophisticated" investors
Regulator says it's "committed to strengthening" investor protection
Certain syndicated mortgages will be subject to a $200 regulatory fee
The new proposals set out registration and prospectus exemptions in several provinces
Ontario advisor referred clients to invest in syndicated mortgages off book