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Altered forms without initials nets rep a $12k fine

An MFDA hearing panel has fined a mutual fund representative after he admitted making changes to client forms without ge…

INVESTMENT | January 28 2021 10:19AM
IIROC discloses dealer exemptions made for COVID-19

At a recent meeting, the IIROC board approved new relief measures for dealer members who are experiencing difficulties c…

INVESTMENT | June 08 2020 01:30PM
Regulator suspends branch manager for using pre-signed forms

A branch manager has been fined $12,500 under a settlement agreement. He admitted to obtaining, and in some instances us…

INVESTMENT | October 02 2019 02:00PM
ADVOCIS and CSI to offer securities courses to members

Advocis, The Financial Advisors Association of Canada, has announced that it is teaming up with the Canadian Securities …

LIFE INSURANCE , HEALTH | December 15 2017 09:45AM
Exchange-traded funds: advisors play key role in helping investors choose wisely

As more exchange-traded fund products come to market, both passive and active, Jeff Hull, senior financial advisor at Ma…

LIFE INSURANCE | December 05 2017 07:00AM
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Seneca announces that financial planning program receives CSI approval

Seneca is the first postsecondary institution in Canada to have a graduate-level program in financial planning approved …

LIFE INSURANCE | August 10 2017 09:45AM
Manulife appoints new Canadian asset allocation manager

Manulife Asset Management has appointed Jamie Robertson to be a senior portfolio manager at its Portfolio Solutions Grou…

LIFE INSURANCE | December 12 2016 11:30AM