OSC gets tough on IIROC advisors

OSC gets tough on IIROC advisors

4 Comments
  • paul P 2015-07-08 9:57:31 AM
    completly agree with bob roby's comment, the need to truly punish offenders will do more to clean up the industry than anything else, the rules are in place, but they need more teeth
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  • Barry Geen 2015-07-08 10:19:24 AM
    OSC talks tough when it comes to squashing a puny advisor for a victimless "crime". (excuse me she didn't tell her brokerage she was moonlighting, poor them). When it comes to taking on someone like Ernst and Young for their facilitation of corporate fraud, (Sino Forest, latest example) or the principles of Sino Forest, now spending their ill gotten gains, or indeed Conrad Black who arguably has made a career of looting companies, they don't have the nerve or the competence to act .
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  • Robert Roby 2015-07-08 5:13:51 PM
    Barry

    I understand your frustration but get a grip. This advisor sold unapproved investments, filtered them for personal gain to her husbands corp then flipped those assets and I am under the understanding that the 3 million dollars that she did is nowhere to be found.Puny I don't think so!
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