Advisors in the province subject to disciplinary sanctions will no longer be able to evade their fines simply by leaving the industry
The FCA has reached a settlement with Christopher Niehaus for sharing information about a client to impress his friends
Illegal distribution, market manipulation and illegal insider trading were the most common offences sanctioned in Quebec
Although Richard Poirier’s violations are “egregious,” several mitigating factors justify $100,000 penalty and one-month suspension
$76,000 now available to investment scheme victims
The firm will pay a fine of $130,000 and costs of $20,000 after admitting to various regulatory failings
Winston King-Loong Kuit has been ordered to disgorge $147,500 and pay $20,000 in costs for improperly distributing securities and providing misleading information to compliance
Dwight Victor Spaetgens has been banned for 15 years and must pay an administrative penalty of $40,000 and $65,000 for the regulator’s costs
Sasha Jacob has also been suspended from acting in the capacity of “ultimate designated person” for three years for failing to oversee the activities and individuals at the firm
U.S. regulators seek to sanction executives for alleged participation in a referral hiring program that violated anti-bribery law