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Institute for Advanced Financial Education recognized as a third-party accreditor

Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c…

INVESTMENT | May 17 2022 10:40AM
Rep sanctioned for ignoring compliance and defying regulator’s orders

Former firm owner also fined $20,000 for ignoring MFDA orders and his own chief compliance officer’s recommendations.

INVESTMENT | May 17 2022 10:30AM
Representative fined, banned 18 months for setting up false PACs to qualify for bonus

Setting up pre-authorized contributions without client authorization or knowledge to qualify for sales bonuses, ends in …

INVESTMENT | May 16 2022 04:33PM
CSA proposes board members, publishes applications for recognition of new SRO

Regulators publish list of proposed board members, along with proposed bylaws, rules, fees, governance structures and it…

INVESTMENT | May 16 2022 09:04AM
MFDA levies $25,000 fine for photocopying signatures, pre-signed forms

Registered since August 1999, sanctioned dealing representative admits to facts in settlement agreement with the MFDA.

INVESTMENT | May 13 2022 04:33PM
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Regulators publish Self-Regulatory Organizations oversight report

The Canadian Securities Administrators has published a staff notice summarizing the CSA’s oversight of the country’s SRO…

LIFE INSURANCE | April 29 2022 04:40PM
Regulators propose enhanced disclosure framework for segregated fund contracts

The CSA and the CCIR jointly published proposals aimed at enhancing total cost reporting for both investment funds and f…

LIFE INSURANCE | April 29 2022 10:08AM