Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for
The Canadian Securities Institute's Designated Financial Services Advisor (DFSA) designation can now be a credential for
There are now four credentialing bodies in Ontario who can grant and oversee the titles of Financial Planner and Financi
In this new role, the appointee will lead the company’s investment strategy for its advisory network.
An MFDA hearing panel has fined a mutual fund representative after he admitted making changes to client forms without ge
At a recent meeting, the IIROC board approved new relief measures for dealer members who are experiencing difficulties c
A branch manager has been fined $12,500 under a settlement agreement. He admitted to obtaining, and in some instances us