Respondents facing enforcement proceedings may choose to mediation with an independent third party
Panel finds KYC, suitability failings
Third annual enforcement report outlines key enforcement activities
Fund sales person failed to cooperate with an investigation
Permanent bans imposed on three Swiss firms
Penalties and disgorgement total more than $1.7 million
Two-year suspension stands
Monetary penalties and courtroom activity increase
Bans issued against former Hollinger execs Black, Boultbee
Pair ordered to disgorge more than $3.6 million