investor protection

Banking complaints agencies report record numbers for 2022 Fallback Image Decorative pattern

Industry

Banking complaints agencies report record numbers for 2022

OBSI, ADR Chambers report double-digit increase in case openings

By The Canadian Press |March 17, 2023

1 min read

SRO panel laments remote hearing challenges Fallback Image Decorative pattern

Industry

SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously

By James Langton |March 14, 2023

2 min read

Former fund rep sanctioned for loans from clients Former fund rep sanctioned for loans from clients

Industry

Former fund rep sanctioned for loans from clients

Rep fined, banned after borrowing from clients, misleading dealer

By James Langton |March 11, 2023

2 min read

BCSC sanctions company over illegal distribution Fallback Image Decorative pattern

Industry

BCSC sanctions company over illegal distribution

Company sold shares to a vulnerable investor without a prospectus or exemption

By James Langton |March 9, 2023

2 min read