registration

Former life agent fined for client servicing scheme

Industry

Former life agent fined for client servicing scheme

FSRA brought similar allegations against the agent earlier this year

By James Langton |June 23, 2023

3 min read

ASC sanctions operator of failed trading scheme

Industry

ASC sanctions operator of failed trading scheme

Man permanently banned; ordered to pay $300,000 in disgorgement, penalties and costs

By James Langton |May 10, 2023

2 min read

IA Financial Group aiming for dual-registered “one wealth” strategy

Industry

IA Financial Group aiming for dual-registered “one wealth” strategy

Wealth leader Stephan Bourbonnais wants the iA businesses to lead the way in the new self-regulatory regime

By Katie Keir |February 15, 2023

4 min read

Citigroup sanctioned in MX settlement

Industry

Citigroup sanctioned in MX settlement

Firm failed to prevent unauthorized access to exchange's electronic trading system

By James Langton |February 9, 2023

2 min read