Firm failed to oversee trading activity by a couple of its reps
Consultation seeks feedback on framework for variable life benefits
SRO considers modernizing rules amid market, investor evolution
Court rules no evidence of common breach, given differences among investors
Exam division details compliance priorities for year ahead
Self-regulatory organization aims to harmonize with CSA's revised requirements
Regulator orders fines, disgorgement against portfolio manager, broker
Unregistered investment funds are allegedly costing investors millions
Regulators has concerns about conflicts, consumer value and competition
Great-West, Manulife enjoyed strong second-quarter results