Industry

FINRA bars rep over high volume of unauthorized trading

Prior to a regulatory hearing, and without an adjudication of any issue, the Financial Industry Regulatory Authority (FINRA) accepted a letter of Acceptance, Waiver and Consent (AWC) submitted by Robert Head, a former General Securities Representative.

By Staff |November 7, 2014

2 min read

Financial leaders head Canadian Business list of top CEOs

Sun Life’s Dean Connor and National Bank’s Louis Vachon are two of the top CEOs in Canada, says Canadian Business.

By Staff |November 7, 2014

1 min read

FSCO issues insurance scam warning

The Financial Services Commission of Ontario (FSCO) is warning consumers that Jessica G. and Great.Life.Insurance are not licensed to do insurance business in Ontario.

By Staff |November 6, 2014

1 min read

Civil servants’ pension board used tax avoidance scheme

Canada’s stepped up its efforts in recent years to crack down on tax avoidance, but at least one government body appears to have missed the memo.

By Staff |November 6, 2014

1 min read