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Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Ontario regulator approves another credential

The Canadian Securities Institute's Designated Financial Services Advisor (DFSA) designation can now be a credential for…

SOCIETY | September 02 2022 05:02PM
The Canadian Institute of Financial Planning joins list of credentialing bodies

There are now four credentialing bodies in Ontario who can grant and oversee the titles of Financial Planner and Financi…

INVESTMENT | June 10 2022 09:20AM
IG Wealth Management appoints Chief Investment Strategist

In this new role, the appointee will lead the company’s investment strategy for its advisory network.

INVESTMENT | October 01 2021 10:31AM
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
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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