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Representative assessed fines and costs totalling $30,000

The rep used altered forms to process transactions for 17 different clients without having clients initial the alteratio…

INVESTMENT | May 11 2021 02:00PM
MFDA advisor fined $20,000 for altering forms

Advisor used pre-signed account forms, contrary to MFDA rules.

INVESTMENT | February 17 2021 09:30AM
MFDA fines two advisors for failing to get client initials on changed forms

In two separate cases, the Mutual Fund Dealers Association of Canada has fined advisors who altered account forms withou…

INVESTMENT | February 03 2021 03:03PM
Advisor fined $16,000

An advisor was fined $16,000 plus a specialty penalty after changing pre-signed account firms.

INVESTMENT | January 12 2021 02:54PM
iA Financial Group announces management reorganization

iA Financial Group has announced a management reorganization involving two business units. Among the changes, iA has app…

LIFE INSURANCE | May 22 2020 12:50PM
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iA groups four investment entities under the iA Wealth brand

iA Financial Group announced that it has grouped four subsidiaries under iA Wealth, a new brand. These subsidiaries are …

LIFE INSURANCE | October 29 2018 09:30AM
Industrial Alliance to buy DundeeWealth’s Quebec fund and insurance distribution operations

On Nov. 3, Industrial Alliance announced that it had entered into an agreement to buy DundeeWealth’s Quebec-based financ…

LIFE INSURANCE , HEALTH | November 27 2008 01:53PM