registration – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Fri, 23 Jun 2023 21:19:00 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png registration – Advisor's Edge https://phoenix.advisor.ca 32 32 Former life agent fined for client servicing scheme https://phoenix.advisor.ca/news/industry-news/former-life-agent-fined-for-client-servicing-scheme/ Fri, 23 Jun 2023 21:19:00 +0000 https://www.advisor.ca/?p=227430 FSRA brought similar allegations against the agent earlier this year

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]]> ASC sanctions operator of failed trading scheme https://phoenix.advisor.ca/news/industry-news/asc-sanctions-operator-of-failed-trading-scheme/ Wed, 10 May 2023 17:38:49 +0000 https://www.advisor.ca/?p=225355 Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs

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]]> IA Financial Group aiming for dual-registered “one wealth” strategy https://phoenix.advisor.ca/news/industry-news/ia-financial-group-aiming-for-dual-registered-one-wealth-strategy/ Wed, 15 Feb 2023 19:00:08 +0000 https://www.advisor.ca/?p=221904 Wealth leader Stephan Bourbonnais wants the iA businesses to lead the way in the new self-regulatory regime

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]]> Citigroup sanctioned in MX settlement https://phoenix.advisor.ca/news/industry-news/citigroup-sanctioned-in-mx-settlement/ Thu, 09 Feb 2023 19:17:09 +0000 https://www.advisor.ca/?p=221689 Firm failed to prevent unauthorized access to exchange's electronic trading system

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]]> SEC charges brokers over unregistered penny stock trades https://phoenix.advisor.ca/news/industry-news/sec-charges-brokers-over-unregistered-penny-stock-trades/ Fri, 18 Nov 2022 19:34:33 +0000 https://www.advisor.ca/?p=216770 Side business allegedly enabled billions of stock trades

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