Investment regulator imposed $14M in enforcement penalties in latest fiscal year

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CIRO Notícia

Fortrade Canada,Investment Product,Canada

TORONTO — Canada's investment product regulator says it imposed more than $14 million in fines and other financial enforcements in its last fiscal year.

TORONTO — Canada's investment product regulator says it imposed more than $14 million in fines and other financial enforcements in its last fiscal year.

Enforcement efforts included a $2 million fine against Fortrade Canada for recommending a high-risk product to unsophisticated retail clients, and a $1.7 million fine and permanent ban on securities-related business against Paul Walker for a range of misconduct including soliciting more than $1.5 million in investments for an outside business activity.

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