Associations comment on SRO questions posed by the CSA

IFIC and PMAC have both published comments regarding the CSA’s review of the regulatory framework governing the industry…

INVESTMENT | October 26 2020 01:30PM
MFDA bans and fines former advisor $850,000

The MFDA published its decision and reasons for permanently banning a former advisor and fining her $850,000 plus costs …

INVESTMENT | October 16 2020 02:30PM
Financial advisor banned after acting “egregiously”

A Toronto area MFDA advisor has been permanently banned.

INVESTMENT | October 16 2020 01:24PM
Branch manager fined and banned for stealing client funds

A regulator has permanently banned a former branch manager for misappropriating funds from two of her mutual fund client…

INVESTMENT | October 06 2020 02:10PM
Retired advisor banned for lying about borrowing money from a client

A regulator has fined and permanently banned a former mutual fund advisor after he borrowed $16,000 from a client.

INVESTMENT | October 06 2020 12:07PM
MFDA fines fund rep for conducting outside business activities

The MFDA has fined and suspended a former dealing representative after he began selling syndicated mortgage investments …

INVESTMENT | September 28 2020 12:37PM
Majority of Canadians give thumbs down to simple SRO merger

Most Canadians prefer oversight and protection to a simple SRO merger, according to an MFDA poll.

INVESTMENT | September 09 2020 09:00AM