Investors Group – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Thu, 28 Nov 2024 21:02:26 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investors Group – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Former fund rep sanctioned for SRO rule breaches https://uat-phoenix.investmentexecutive.com/news/former-fund-rep-sanctioned-for-sro-rule-breaches/ Thu, 28 Nov 2024 21:02:26 +0000 https://www.investmentexecutive.com/?p=497619 Former fund rep sanctioned for exceeding registration https://uat-phoenix.investmentexecutive.com/news/former-fund-rep-sanctioned-for-exceeding-registration/ Tue, 07 May 2024 20:47:38 +0000 https://www.investmentexecutive.com/?p=485422 Former fund rep fined, banned over forgery https://uat-phoenix.investmentexecutive.com/news/former-fund-rep-fined-banned-over-forgery/ Thu, 04 Jan 2024 22:09:34 +0000 https://www.investmentexecutive.com/?p=478061 Former fund rep’s suit against Quebec regulator tossed https://uat-phoenix.investmentexecutive.com/news/former-fund-reps-suit-against-quebec-regulator-tossed/ Mon, 13 Mar 2023 19:51:56 +0000 https://www.investmentexecutive.com/?p=462145 Firms have immunity to aid SRO investigations, court rules https://uat-phoenix.investmentexecutive.com/news/firms-have-immunity-to-aid-sro-investigations-court-rules/ Fri, 20 Jan 2023 19:37:11 +0000 https://www.investmentexecutive.com/?p=459018 Former fund rep fined, banned for taking client’s money https://uat-phoenix.investmentexecutive.com/news/former-fund-rep-fined-banned-for-taking-clients-money/ Fri, 09 Dec 2022 20:21:22 +0000 https://www.investmentexecutive.com/?p=457321 Rep fined, banned for misappropriation https://uat-phoenix.investmentexecutive.com/news/rep-fined-banned-for-misappropriation/ Tue, 22 Nov 2022 22:54:28 +0000 https://www.investmentexecutive.com/?p=456167 Senior client DSC switch ends in sanctions https://uat-phoenix.investmentexecutive.com/news/senior-client-dsc-switch-ends-in-sanctions/ Thu, 28 Jul 2022 13:16:15 +0000 https://www.investmentexecutive.com/?p=448683 Former rep’s side hustles end in SRO sanctions https://uat-phoenix.investmentexecutive.com/news/former-reps-side-hustles-end-in-sro-sanctions/ Thu, 07 Jul 2022 21:33:47 +0000 https://www.investmentexecutive.com/?p=447617 Ex-rep sanctioned for falsifying client signatures https://uat-phoenix.investmentexecutive.com/news/ex-rep-sanctioned-for-falsifying-client-signatures/ Wed, 16 Mar 2022 20:50:54 +0000 https://www.investmentexecutive.com/?p=441044