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Week of March 02, 2024
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Rep admits to unapproved discretionary trades
From the Regulators
Rep admits to unapproved discretionary trades
Settlement includes disgorgement, penalty and suspension
February 27, 2024
From the Regulators
Rep sanctioned for advising via Discord platform
Online posts amounted to securities-related business, CIRO panel found
February 27, 2024
OSC awards tipster $1.5 million
From the Regulators
OSC awards tipster $1.5 million
Information expanded an investigation, helped protect investors
February 27, 2024
Columns
Balance your client’s inheritances with hotchpot and release clauses
Ensure an equitable estate distribution among beneficiaries who received earlier gifts and advances
February 28, 2024
Industry News
Toronto pension firm sues Scotiabank over pension plan for doctors
Claim for $700M alleges Medicus Pension Plan was built on confidential information
March 1, 2024
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