OSC hands out $800,000 penalty to 1832 for sales practices [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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Source: Advisor.ca
The Ontario Securities Commission has ordered 1832 Asset Management to pay an administrative penalty of $800,000 for failing to comply with rules in its mutual fund sales. The Scotiabank-owned asset manager was also ordered to pay $150,000 in investigation costs. Investment fund managers are prohibited from making a payment of money or providing a non-monetary benefit to a participating dealer or dealing representatives in connection with the distribution of securities. In various cases between November 2012 and October 2017, 1832 “failed to meet the minimum standards of conduct expected of industry participants in relation to certain of its sales practices” for its Dynamic Funds, the OSC said in its settlement agreement . The firm “did not have systems of controls and supervision over its sales practices that were sufficient to provide reasonable assurances that it was complying with its obligations.” The firm also didn’t maintain “adequate books, recor
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BNS
Earnings
- 2/27/24 - Beat
BNS
Sec Filings
- 4/24/24 - Form 424B2
- 4/24/24 - Form 424B2
- 4/24/24 - Form 424B2
- BNS's page on the SEC website