The MFDA has banned a former representative for five years and imposed a fine of $15,000 plus costs.
An advisor was fined $16,000 plus a specialty penalty after changing pre-signed account firms.
Both MFDA and IIROC make allegations against advisor.
Fund company ordered to pay fine for failing to maintain capital level.
No longer any need for LTA forms, says BCSC.
At a symposium, FSRA discussed its position on how title protection will work and what the implications are for advisors
Sun Life advisor fined for discretionary trading without proper skill