The legal department at the Manitoba Financial Services Agency provides legal support on matters related to registration, compliance, investigative and enforcement functions. This page will provide you with legal information including policies, notices, rules and laws. In this section you will also find information about current and concluded hearings, orders, exemptions and more.
The Disciplined List is intended to assist the public and the securities industry in conducting due diligence.
The list contains the names of individuals and companies disciplined by Canadian securities regulators.