Fines for investment and mutual fund dealers declined sharply in 2023-24, regulator reports

By John Schofield (July 16, 2024, 4:37 PM EDT) -- Canada’s industry watchdog for investment dealers and mutual fund dealers handed out about $14.4 million in fines, cost orders and disgorgement orders during the 2023-24 fiscal year, in addition to suspending 24 dealers and permanently barring or suspending 15....