Outside business activities – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 24 Oct 2024 22:03:53 +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 Outside business activities – Investment Executive https://www.investmentexecutive.com 32 32 Tribunal rejects rep’s appeal of CIRO rulings https://www.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-reps-appeal-of-ciro-rulings/ Thu, 24 Oct 2024 22:03:53 +0000 https://www.investmentexecutive.com/?p=495461 Acts in furtherance of a trade violated securities rules

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]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

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]]> FINRA sees deepening connections to crypto https://www.investmentexecutive.com/news/from-the-regulators/finra-sees-deepening-connections-to-crypto/ Tue, 13 Aug 2024 19:41:28 +0000 https://www.investmentexecutive.com/?p=491017 Much of the industry's involvement may be outside the SRO's perimeter

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]]> Former fund rep fined, banned for fraud https://www.investmentexecutive.com/news/from-the-regulators/former-fund-rep-fined-banned-for-fraud/ Thu, 18 Apr 2024 18:24:02 +0000 https://www.investmentexecutive.com/?p=484291 Retirees duped by fake investment for almost a decade, SRO finds

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]]> Fund rep’s side hustle results in ban, fine https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-side-hustle-results-in-ban-fine/ Thu, 11 Apr 2024 18:57:49 +0000 https://www.investmentexecutive.com/?p=483585 Clients lost more than $1.5 million on rep's failed fintech venture

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]]> Rep called out after strike two https://www.investmentexecutive.com/news/from-the-regulators/rep-called-out-after-strike-two/ Tue, 19 Mar 2024 20:39:44 +0000 https://www.investmentexecutive.com/?p=482347 Ban, fine of $300K follow repeat episode of unapproved outside business activity

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]]> Former rep fined, banned by CIRO https://www.investmentexecutive.com/news/from-the-regulators/former-rep-fined-banned-by-ciro/ Wed, 01 Nov 2023 19:56:17 +0000 https://www.investmentexecutive.com/?p=474343 Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations

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]]> SRO panel laments remote hearing challenges https://www.investmentexecutive.com/news/from-the-regulators/sro-panel-laments-remote-hearing-challenges/ Tue, 14 Mar 2023 21:59:52 +0000 https://www.investmentexecutive.com/?p=462235 Panel concluded that rep was participating in proceeding anonymously

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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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]]> CSA seeks to streamline registration reporting https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-to-streamline-registration-reporting/ Thu, 04 Feb 2021 20:58:09 +0000 https://www.investmentexecutive.com/?p=415477 Proposals would focus outside activity reporting, curb duplicate filings and enhance business title reporting

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