Disciplined List

Details

Name: Manulife Securities Investment Services Inc.
Ontario - Ontario Securities Commission
Date of Order or Settlement July 13, 2017
Sanctions
Specific undertakings
Other
Payment Agreed/Ordered Costs (Joint & Several)/Frais (Solidaire): $25,000; Settlement Payment (Joint & Several)/Somme versée en règlement (Solidaire): $495,000
Supporting Documents
Order (English)
Settlement Agreement (English)

SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement December 22, 2008
Sanctions
Administrative Penalty/Fine
Payment Agreed/Ordered $200,000.00
Violations
Disclosure violations
Supporting Documents
Order (English)
Other Documents (English)

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca



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