Gabrielson fined $10,000
Rule intended to address complaints from investors who were not informed of fees and charges
Majdoub sold $840,000 of investment products that weren’t approved by fund dealer
Some amendments put on hold
Increase to be phased in over seven years
Lipski admits to rule violations, misleading investigators
Death halts McBride proceedings
PAC provides advice on regulatory and policy matters
Regulatory breaches include failure to supervise the trading activity
Amendments aim to harmonize requirements with provincial registration rules