Home Regulatory Page 69

Keyword: Regulatory

1707 results found
Gavel

Former advisor to pay more than $55K for personal dealings with a client

He was also suspended for two years

  • By: Staff
  • November 6, 2018 November 6, 2018
  • 16:26
Gavel

MFDA bans, fines former rep $50K for not cooperating with investigation

Rep hasn't responded to communication from MFDA since 2017

  • By: Staff
  • November 2, 2018 November 2, 2018
  • 16:37
Lawyer

OSC publishes FAQs about proceedings

Information is aimed at respondents

  • By: Staff
  • October 30, 2018 November 2, 2018
  • 16:11
Lawyer

MFDA bans, fines former branch manager $250K for referral arrangements

The manager didn't cooperate with the investigation

  • By: Staff
  • October 23, 2018 October 23, 2018
  • 15:28
Conquering adversity

FAIR and PMAC focus on fiduciary duty in CFRs

Plus, IG offers insight on the fallout for firms from CSA's proposals

  • By: Staff
  • October 22, 2018 October 22, 2018
  • 15:36
Gavel

OSC issues $1M in penalties to firm, executives for spoofing

The executives also received trading bans as part of the settlement

  • By: Staff
  • October 22, 2018 October 22, 2018
  • 12:20
Megaphone

Client-focused reforms too focused on cost, industry associations say

What Advocis, IIAC and IFIC say about CSA's proposals

  • By: Staff
  • October 19, 2018 October 19, 2018
  • 15:48
Justitia, the goddess of justice

Waterloo woman sentenced to jail for securities fraud

The two-year sentence also includes $150K in restitution to investors

  • By: Staff
  • October 19, 2018 October 19, 2018
  • 12:13
Emotional Stress, Bankruptcy, Finance

Reaction to CSA’s proposed referral arrangement rules

Industry's not supportive of the changes

  • By: Staff
  • October 18, 2018 November 2, 2018
  • 10:30
Solution

U.S. regulators lift strict oversight of Prudential

Decision ends era of tagging certain financial companies as potential threats