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A supervisor in the firm's Calgary office has also been sanctioned


New guidance says compliance officers could serve at more than one firm

court gavel regulatory

The woman was permanently banned by the BCSC in 2017

Business Team Meeting Project Planning Concept

Regulators are closer to banning trailer fees paid to discount brokers


The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe

Business and financial district in a city with pillars

The regulator reduced the requirement for big banks in March

court gavel regulatory

Regulators issued more investor alerts and bans


An appearance to set a hearing date will be held by teleconference on Aug. 17


Brampton man also fined $125,000


The longtime advisor, who had no previous disciplinary history, cooperated with IIROC’s investigation