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CIRO ALLEGES FORMER GLOBAL MAXFIN INVESTMENTS INC. REP ENGAGED IN UNAPPROVED OUTSIDE BUSINESS ACTIVITIES

CIRO has commenced a disciplinary proceeding in respect of Leszek Dziadecki ("Dziadecki"), a former dealing representative with Global Maxfin Investments Inc. from Mississauga, Ontario. CIRO alleges ...

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CIRO
CIRO SANCTIONS FORMER ASSANTE FINANCIAL MANAGEMENT LTD REP FROM KITCHENER, ONTARIO
June 05, 2023

CIRO sanctioned Charles Hogg, a former dealing representative with Assante Financial Management Ltd from Kitchener, Ontario. CIRO...

FCA
FINANCIAL WATCHDOG BANS REFERRAL FEES FOR DEBT PACKAGERS TO HELP STRUGGLING CONSUMERS
June 05, 2023

The FCA is banning certain providers of debt advice from receiving referral fees from debt solution providers. The ban should sav...

Investment Executive
INSURANCE AGENTS OPT OUT OF CLASS ACTION EN MASSE
June 05, 2023

A proposed class action lawsuit alleging that insurance agents were improperly treated as independent contractors rather than emp...

Investment Executive
LIFE AGENT SANCTIONED FOR CLIENT SERVICE SCHEME, CHURNING
June 05, 2023

A life agent had his licence pulled and was fined $100,000 after the Financial Services Regulatory Authority of Ontario (FSRA) al...

Investment Executive
CANACCORD MANAGEMENT GROUP PROVIDING NO ASSURANCE THAT OFFER WILL BE EXTENDED
June 05, 2023

The management-led group looking to take Canaccord Genuity Group Inc. private says there’s “no reasonable chance” the conditions ...

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