Case highlights gap between mutual fund and insurance regulation
Rotstein and Zackheim agree to 12-month prohibition from registration
Former Raymond James manager relied on rep
Investment dealer fined $50,000 for trading error
Former Toronto rep banned for breach of IIROC rules
Payment to settle charges with SEC, FINRA of failing to supervise equity analysts
Deficiencies found during Independent Accountants’ Investment Group compliance exam
Officials considering enforcement
Weeres and Donszelman banned for their roles in Shaker Management investment scheme
Watt Carmichael officers lose bid to have penalties struck down