Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c
Former firm owner also fined $20,000 for ignoring MFDA orders and his own chief compliance officer’s recommendations.
Setting up pre-authorized contributions without client authorization or knowledge to qualify for sales bonuses, ends in
Regulators publish list of proposed board members, along with proposed bylaws, rules, fees, governance structures and it
Registered since August 1999, sanctioned dealing representative admits to facts in settlement agreement with the MFDA.
The Canadian Securities Administrators has published a staff notice summarizing the CSA’s oversight of the country’s SRO
The CSA and the CCIR jointly published proposals aimed at enhancing total cost reporting for both investment funds and f