The BCSC has imposed a $350,000 administrative penalty on William Wade Furman who deceived investors about his status as a regist...
CN Editor
June 12, 2019
COURT ORDERS AMF TRIBUNAL TO CONSIDER SETTLEMENT
INVESTOR ALERT: FRAUDSTERS IMPERSONATING LIQUIDNET CANADA EMPLOYEES
CIRO ALLEGES UNAUTHORIZED TRANSACTIONS AND FAILURE TO COOPERATE BY FORMER BMO INVESTMENTS REP FROM EDMONTON, AB
B.C. MAN AND HIS COMPANY AGREE TO PAY $4 MILLION TO BCSC FOR FRAUD, MISREPRESENTATION AND ILLEGAL DISTRIBUTION
Thank you for the feedback!!
OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP