Investors Group – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 28 Nov 2024 21:02:26 +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 Investors Group – Investment Executive https://www.investmentexecutive.com 32 32 Former fund rep sanctioned for SRO rule breaches https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Rep had clients invest in, failed to disclose, his side hustles

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]]> Former fund rep sanctioned for exceeding registration https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-sanctioned-for-exceeding-registration/ Tue, 07 May 2024 20:47:38 +0000 https://www.investmentexecutive.com/?p=485422 Fund rep could fill out basic information, but not KYC info, on investment dealer accounts

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]]> Former fund rep fined, banned over forgery https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-over-forgery/ Thu, 04 Jan 2024 22:09:34 +0000 https://www.investmentexecutive.com/?p=478061 Rep recruited tenant as a client without firm's permission

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]]> Former fund rep’s suit against Quebec regulator tossed https://www.investmentexecutive.com/news/from-the-regulators/former-fund-reps-suit-against-quebec-regulator-tossed/ Mon, 13 Mar 2023 19:51:56 +0000 https://www.investmentexecutive.com/?p=462145 Quebec court cites statutory immunity in dismissing claim

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]]> Firms have immunity to aid SRO investigations, court rules https://www.investmentexecutive.com/news/from-the-regulators/firms-have-immunity-to-aid-sro-investigations-court-rules/ Fri, 20 Jan 2023 19:37:11 +0000 https://www.investmentexecutive.com/?p=459018 B.C. court strikes certain claims in rep's wrongful dismissal suit

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]]> Former fund rep fined, banned for taking client’s money https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-for-taking-clients-money/ Fri, 09 Dec 2022 20:21:22 +0000 https://www.investmentexecutive.com/?p=457321 MFDA alleged client gave rep access to bank account while travelling

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]]> Rep fined, banned for misappropriation https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-banned-for-misappropriation/ Tue, 22 Nov 2022 22:54:28 +0000 https://www.investmentexecutive.com/?p=456167 SRO alleged rep took money from a client who was a fellow fund rep

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]]> Senior client DSC switch ends in sanctions https://www.investmentexecutive.com/news/from-the-regulators/senior-client-dsc-switch-ends-in-sanctions/ Thu, 28 Jul 2022 13:16:15 +0000 https://www.investmentexecutive.com/?p=448683 Rep fined after switching a nonagenarian's account into a DSC fund

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]]> Former rep’s side hustles end in SRO sanctions https://www.investmentexecutive.com/news/from-the-regulators/former-reps-side-hustles-end-in-sro-sanctions/ Thu, 07 Jul 2022 21:33:47 +0000 https://www.investmentexecutive.com/?p=447617 Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found

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]]> Ex-rep sanctioned for falsifying client signatures https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-sanctioned-for-falsifying-client-signatures/ Wed, 16 Mar 2022 20:50:54 +0000 https://www.investmentexecutive.com/?p=441044 Panel handed down tougher sanctions than SRO sought

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