Compliance

Questrade to pay $2.9-million settlement to OSC Fallback Image Decorative pattern

Industry

Questrade to pay $2.9-million settlement to OSC

The settlement agreement follows a hearing examining alleged conflicts

By Staff |November 27, 2018

1 min read

MFDA fines, suspends reps for mishandling client transfers Fallback Image Decorative pattern

Industry

MFDA fines, suspends reps for mishandling client transfers

The case offers a cautionary tale for book sales

By Staff |November 27, 2018

2 min read

MFDA permanently bans, fines advisor $100K for misappropriating funds Fallback Image Decorative pattern

Industry

MFDA permanently bans, fines advisor $100K for misappropriating funds

Client was his sister-in-law

By Staff |November 26, 2018

2 min read

Former advisor fined $30K, suspended over unsuitable recommendations Fallback Image Decorative pattern

Industry

Former advisor fined $30K, suspended over unsuitable recommendations

He also had personal financial dealing with clients, an IIROC agreement says

By Staff |November 23, 2018

3 min read