Industry News

No-contest settlements still hot-button issue Fallback Image Decorative pattern

Industry

No-contest settlements still hot-button issue

Protecting harmed investors involves more than covering financial losses.

October 27, 2015

3 min read

U.S. Sen. Warren targets “lavish” perks for life insurance agents Fallback Image Decorative pattern

Industry

U.S. Sen. Warren targets “lavish” perks for life insurance agents

The days of luxury vacations, golf outings, fancy dinners and diamond-encrusted rings could be over

By Staff |October 27, 2015

2 min read

Assante fined $400,000 over failed Tier 2 supervision Fallback Image Decorative pattern

Industry

Assante fined $400,000 over failed Tier 2 supervision

On October 13, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Assante Capital Management Ltd.

By Staff |October 27, 2015

1 min read

Canada lacks proper indemnity fund for investors Fallback Image Decorative pattern

Industry

Canada lacks proper indemnity fund for investors

Canada hasn’t yet formed a nationwide indemnity system to protect harmed investors.

October 27, 2015

4 min read

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