FREE Membership Sign in

Altered forms cases on the decline

By Susan Yellin | March 4, 2021, 10:30 a.m.

Photo: Freepik

The Mutual Fund Dealers Association of Canada is making inroads into lowering the number of altered forms cases taking place in the mutual fund industry.

This article is reserved to PRO Level subscribers

Discover the PRO Level

The most popular in Investment

ETF flows in Canada reach $17 billion over the first half of the year

Richmond Hill firm fined $60,000

Acting as power of attorney for a friend and client ends in substantial penalties

Headlines

Desjardins' profits: P&C down 68.5 per cent, life and health 26.4 down per cent

Property and casualty industry in a state of flux

Value-based healthcare gains momentum

Related topics …

Flash

Property and casualty industry in a state of flux

Appropriation of funds: Guilty verdict

Hub buys Jaimac Risk Management

CSA to hold roundtable on proposed derivatives business conduct rule

Mutual Funds

Funds record net redemptions in June

Net redemptions continue in fund sales

Mutual funds see net redemptions in April

Representatives sanctioned for accepting sport and charity sponsorships

Investments

Horizons launches utility services exchange traded fund

Harvest to launch new equity income exchange traded funds

ETF flows in Canada reach $17 billion over the first half of the year

Exchange traded funds in Canada saw net outflows in June

Life Insurance

Study indicates a significant gap in access to care for chronically ill

Group insurance leader reveals sales and retention strategies

Beneva supports gender transition in group insurance

Manulife’s net income skyrockets by 279.3 per cent

ONTARIO SECURITIES COMMISSION (OSC)

Regulator issues investor warning

Regulators announce establishment of new Investor Advisory Panel

Positive messaging may help your clients save more

Regulators propose enhanced disclosure framework for segregated fund contracts

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)

Acting as power of attorney for a friend and client ends in substantial penalties

Regulator levies massive fine and ban for misappropriation

Regulatory enforcement report summarizes 2022 sanctions

Former rep sanctioned for discretionary trading

MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

The Mutual Fund Dealers Association of Canada accepts agreement with advisor

Advisor reaps commission from elderly client

Richmond Hill firm fined $60,000

Regulator’s enforcement activities increase in 2021

BMO

BMO announces recruitment program for newcomers to Canada and the U.S.

British Columbia Securities Commission reprimands Bank of Montreal

BMO appoints new Chief Risk Officer

BMO income: Insurance up 19.6 per cent

MANULIFE

Manulife says it remains strong despite slump in net income

Policy trafficking in Ontario ends in $10,000 administrative penalty

Pension specialists discuss trends impacting the sector

Manulife Debt Survey reveals homeowners deeply concerned about interest rates

ECHELON WEALTH PARTNERS

IIROC fines and suspends portfolio manager for falsifying client records

IIROC finds portfolio manager liable for altering signed documents

MACQUARIE PRIVATE WEALTH

Foresters leaves variable life and annuity business

Calgary advisor fined $100,000

Raymond James Hires Tom Williams to Head Recruitment

BABIN BESSNER SPRY LLP

Binding decision-making authority for OBSI could pose problems, say lawyers

Investors win as traditional advice goes up against digital

Regulators’ complaint handling tactics denounced by lawyers

Investment

Home and auto insurtech expands into Ontario

Appeal court rules bankruptcy can't erase sanctions

Navacord acquires Insurance Store

Forty per cent of companies plan to add staff

Regulation

Regulator to review private mortgage brokering

Securities administrators receive feedback on total cost reporting initiative

Lessons from four property and casualty insurer failures

Towing regulations in Ontario a serious concern

Compliance

Climate guideline affecting federally-regulated institutions published for comment

Bill 96: Minister clarifies requirements for contracts by mutual agreement

Two individuals sentenced to jail for Securities Act offences

Investment and banking ombudsman case volumes reach all-time high

Altered forms cases on the decline

Choose your payment method

Confirmation