enforcement

Fund rep sanctioned for stealing from bank customers Fallback Image Decorative pattern

Industry

Fund rep sanctioned for stealing from bank customers

Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

By James Langton |June 29, 2021

2 min read

NSSC reduces IIROC sanctions Fallback Image Decorative pattern

Industry

NSSC reduces IIROC sanctions

The regulator reduced penalties against an advisor after finding errors in the SRO's decision

By James Langton |June 24, 2021

1 min read

MFDA fines and bans rep who borrowed from a client Fallback Image Decorative pattern

Industry

MFDA fines and bans rep who borrowed from a client

The client was repaid, but the funds used to repay the client came from a mysterious source

By James Langton |June 23, 2021

2 min read

Court rejects law firm’s request to represent retail investors in Bridging Finance case Fallback Image Decorative pattern

Industry

Court rejects law firm’s request to represent retail investors in Bridging Finance case

A judge has given PwC 60 days to sort out funds' finances before appointing lawyers to represent investors

By James Langton |June 23, 2021

3 min read