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New self regulatory organization approved

Members of the MFDA and IIROC passed a special resolution approving the amalgamation of their organizations.

INVESTMENT | September 30 2022 10:58AM
Fund salesperson banned for outside activities

Regulator issues notice of proposal to revoke insurance licenses as well.

LIFE INSURANCE | September 23 2022 03:46PM
Saskatchewan urged to drop proposed competency rules for advisors

Submission suggests that a non-harmonized approach to title regulation should be reconsidered.

INVESTMENT | September 21 2022 10:23AM
Mutual Fund Dealers Association of Canada appoints new President & CEO

She will take the place of Mark Gordon who will continue with the organization in a new role.

INVESTMENT | September 20 2022 10:35AM
Failing to cooperate with regulator results in ban and $40,000 fine

Dealing representative being investigated for copying client signatures.

INVESTMENT | September 07 2022 10:40AM
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Rep suspended after 134 altered forms discovered

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

INVESTMENT | September 06 2022 09:36AM
Advisor fined $525,000

A hearing panel found she made five major contraventions to MFDA rules involving clients.

INVESTMENT | August 25 2022 09:55AM