Syndicated mortgages – 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 Syndicated mortgages – 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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]]> OSC’s compliance work escalates https://www.investmentexecutive.com/news/from-the-regulators/oscs-compliance-work-escalates/ Fri, 26 Jul 2024 19:36:15 +0000 https://www.investmentexecutive.com/?p=490069 Risky firms, crypto platforms add to compliance division's workload

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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 fund industry executive banned https://www.investmentexecutive.com/news/from-the-regulators/former-fund-industry-executive-banned/ Fri, 08 Dec 2023 21:55:28 +0000 https://www.investmentexecutive.com/?p=477055 Tribunal bans David Singh following fraud conviction

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]]> Mortgage fraudster gets permanent ban https://www.investmentexecutive.com/news/from-the-regulators/mortgage-fraudster-gets-permanent-ban/ Tue, 14 Nov 2023 22:47:33 +0000 https://www.investmentexecutive.com/?p=475344 Tribunal rules that misconduct involved securities

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]]> Proposed syndicated mortgage class action rejected https://www.investmentexecutive.com/news/from-the-regulators/proposed-syndicated-mortgage-class-action-rejected/ Mon, 19 Jun 2023 21:30:44 +0000 https://www.investmentexecutive.com/?p=467594 Appeal court upholds lower court's ruling, denying class action against trustee

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]]> OSC seeks to ban former fund industry exec https://www.investmentexecutive.com/news/from-the-regulators/osc-seeks-to-ban-former-fund-industry-exec/ Thu, 15 Jun 2023 21:26:27 +0000 https://www.investmentexecutive.com/?p=467437 Regulator pursuing ban against David Singh for fraud conviction

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]]> Mortgage fraudsters hit with $47-million sanction https://www.investmentexecutive.com/news/from-the-regulators/mortgage-fraudsters-hit-with-47-million-sanction/ Tue, 30 May 2023 19:33:16 +0000 https://www.investmentexecutive.com/?p=466451 Most of the investors' money was put into riskier projects than promised

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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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