Regulatory

Rep suspended, fined for outside sales

Toronto MFDA rep was was suspended and fined for outside sales.

By Staff |January 24, 2013

1 min read

Dealer fined $35,000 for failed supervision

A settlement hearing in the matter of Portfolio Strategies Corporation was held on January 18, 2013.

By Staff |January 22, 2013

1 min read

Woman allegedly ran $135 million Ponzi scheme

The BCSC alleges a Canadian women both perpetrated a fraud and made false statements to regulators.

By Staff |January 21, 2013

2 min read

Regulatory red tape weighs on Canadian biz owners

Businesses in Canada pay more per employee than their U.S. counterparts to comply with regulation.

By Staff |January 21, 2013

2 min read