enforcement

Failed leverage strategy ends in sanctions Fallback Image Decorative pattern

Industry

Failed leverage strategy ends in sanctions

MFDA panel fines, bans rep after finding numerous violations

By James Langton |November 3, 2022

2 min read

Ex-rep sanctioned after ignoring red flags Ex-rep sanctioned after ignoring red flags

Industry

Ex-rep sanctioned after ignoring red flags

Settlement follows violations including overlooking suspicious trading activity

By James Langton |October 28, 2022

1 min read

FCAC sanctions CIBC for loan disclosure failings FCAC sanctions CIBC for loan disclosure failings

Industry

FCAC sanctions CIBC for loan disclosure failings

Certain fees were not disclosed to borrowers for almost 20 years, regulator alleged

By James Langton |October 28, 2022

2 min read

FSRA initiates enforcement action over MGA’s training practices Fallback Image Decorative pattern

Life

FSRA initiates enforcement action over MGA’s training practices

The regulator alleged a firm's training instructs life agents to mislead consumers, which the firm refutes

By Staff |October 25, 2022

2 min read