Regulatory

Quebec court upholds $285,000 in fines for illegal brokerage activity

Two individuals and a numbered company were implicated

By Staff |May 24, 2019

1 min read

Former director settles with OSC over trading misconduct allegations

The settlement involves a $300,000 payout and multi-year bans

By Staff |May 21, 2019

1 min read

U.S. regulators halt alleged Ponzi scheme

The scheme raised US$30 million from more than 300 investors in the U.S. and Canada

By Staff |May 21, 2019

1 min read

IG settles with MFDA over suitability of DSC sales to elderly clients

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

By Staff |May 17, 2019

2 min read