Financial Services Commission of Ontario – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Jun 2024 20:24:51 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Services Commission of Ontario – Investment Executive https://www.investmentexecutive.com 32 32 FSRA refuses licence over false CE certificates https://www.investmentexecutive.com/news/from-the-regulators/fsra-refuses-licence-over-false-ce-certificates/ Mon, 10 Jun 2024 20:24:51 +0000 https://www.investmentexecutive.com/?p=487432 Agent deemed unsuitable after deceiving regulators about continuing education

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]]> Privacy office orders release of FSRA enforcement notice https://www.investmentexecutive.com/news/from-the-regulators/privacy-office-orders-release-of-fsra-enforcement-notice/ Fri, 09 Jun 2023 18:11:58 +0000 https://www.investmentexecutive.com/?p=467136 Disciplinary filing is a statutory requirement, not legally privileged, IPC rules

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]]> Firm sanctioned over syndicated mortgage violations https://www.investmentexecutive.com/news/from-the-regulators/firm-sanctioned-over-syndicated-mortgage-violations/ Fri, 26 May 2023 18:33:09 +0000 https://www.investmentexecutive.com/?p=466167 Brokerage, owner admitted to various contraventions of mortgage rules

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]]> Pair charged in Fortress Real scheme https://www.investmentexecutive.com/news/from-the-regulators/pair-charged-in-fortress-real-scheme/ Tue, 21 Jun 2022 21:21:35 +0000 https://www.investmentexecutive.com/?p=446823 RCMP team charges men behind $900-million syndicated mortgage failure

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]]> Steer clear of confused crypto platform: FCAA https://www.investmentexecutive.com/news/from-the-regulators/steer-clear-of-confused-crypto-platform-fcaa/ Thu, 13 May 2021 16:22:53 +0000 https://www.investmentexecutive.com/?p=421725 The firm claims to be licensed by a regulator that doesn't exist

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]]> FSCO warns about unlicensed mortgage broker https://www.investmentexecutive.com/news/from-the-regulators/fsco-warns-about-unlicensed-mortgage-broker/ Fri, 05 Apr 2019 21:11:40 +0000 https://www.investmentexecutive.com/?p=379782 The alert follows allegations of possible mortgage fraud

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]]> FSCO issues guideline on treating consumers fairly https://www.investmentexecutive.com/news/from-the-regulators/fsco-issues-guideline-on-treating-consumers-fairly/ Mon, 01 Oct 2018 11:00:48 +0000 https://www.investmentexecutive.com/?p=356534 New guideline applies to four Ontario-regulated sectors

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]]> Fraudster using fake FSCO form https://www.investmentexecutive.com/news/from-the-regulators/fraudster-using-fake-fsco-form/ Thu, 05 Jul 2018 14:42:23 +0000 https://www.investmentexecutive.com/?p=353144 Ontario regulator issues warning to consumers

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]]> FSCO takes further step to protect syndicated mortgage investors https://www.investmentexecutive.com/news/research-and-markets/fsco-takes-further-step-to-protect-syndicated-mortgage-investors/ Mon, 23 Apr 2018 14:10:17 +0000 https://www.investmentexecutive.com/?p=349349 Court appoints FAAN Mortgage as trustee to oversee mortgage administrator BDMC

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]]> FSCO launches consultation on fairness guideline https://www.investmentexecutive.com/news/from-the-regulators/fsco-launches-consultation-on-fairness-guideline/ Tue, 03 Apr 2018 21:25:39 +0000 https://www.investmentexecutive.com/?p=348647 Treating consumers fairly means putting the interests of consumers first, Ontario regulator says

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