Regulators

Advisor banned after borrowing $156,000 from elderly client

IIROC panel condemn respondent's conduct and lack of remorse for taking advantage of widowed senior

Advisor banned after borrowing $156,000 from elderly client

OSC announces $525,000 award to whistleblower

Company outsider rewarded for using industry expertise in finding irregularities

OSC announces $525,000 award to whistleblower

PM fined $25,000 for excessive trading

Ex-CIBC World Markets employee generated more than $50,000 in commissions despite two clients’ respective accounts losing almost 60% in value

PM fined $25,000 for excessive trading

Beware of cyber risks from COVID-19, says IIROC

Self-regulatory organization urges vigilance against malware and phishing, as well as possible account intrusions

Beware of cyber risks from COVID-19, says IIROC

Advisor fined after admitting 70 form violations

Dealing rep handed $15,500 penalty after violations detected during firm's compliance review

Advisor fined after admitting 70 form violations

Advisor fined after admitting more than 40 form violations

In a separate case, another dealing rep is punished by MFDA for submitting unapproved Letters of Direction

Advisor fined after admitting more than 40 form violations