IIROC fines advisor $60K for accepting entertainment tickets [Advisor.ca (Canada)]
Bank Nova Scotia Halifax Pfd 3 Ordinary Shares (BNS)
Last bank nova scotia halifax pfd 3 ordinary shares earnings: 2/25 05:30 am
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seekingalpha.com/article/4128193-bank-nova-scotias-bns-ceo-brian-porter-q4-2017-results-earnings-call-transcript
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Source: Advisor.ca
During the relevant period, Panzures worked at HollisWealth, which was operated by Scotia Capital Inc. and subsequently acquired in 2017 by Industrial Alliance Securities Inc., where Panzures still works. He started Panzures Wealth Management in 2012 with two other advisors, and has been registered since 1987. During the period, Panzures Wealth Management’s book of business had more than 850 households with about $400 million in assets under management, the settlement agreement says. About 62% to 69% of Panzures’ client investments were in mutual funds of Sentry Investments Inc. and Dynamic Funds. Panzures historically held most of his client’s investments along with his own in these mutual funds, says the agreement. It further says there are no client complaints related to the tickets. HollisWealth compliance manuals from 2013 to 2016 stated that advisors couldn’t accept gifts of more than a nominal value from any person or business that the firm did business with, the settleme
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BNS
Earnings
- 2/27/24 - Beat
BNS
Sec Filings
- 4/25/24 - Form 424B2
- 4/25/24 - Form FWP
- 4/25/24 - Form 424B2
- BNS's page on the SEC website