Proposal would create new structure for retail investors to access 'long-term assets,' but responses may send regulator back to the drawing board
A former registrant must also pay $20,000 in costs after admitting to unapproved transactions
Regulatory panel finds violations in outside business activities and undisclosed investments, imposing sanctions
Regulatory panel reviews case alongside prior ruling on similar undisclosed business activities
A CIRO hearing panel approved a settlement imposing an $18,000 fine for Mutual Fund Dealer violations
The representative engaged in unapproved business activities with Anahit International, CanBud, and Zenith
