Wealthtech solution for advisors at heart of collaboration

Agora Dealer Services is collaborating with fintech provider Pascal Financial to create a stronger and more robust wealt

INVESTMENT | July 31 2020 01:11PM
Keybase Financial Group levied a $35,000 fine

Keybase Financial Group has been levied a $35,000 fine, plus costs, after it failed to adequately handle a number of cli

INVESTMENT | July 03 2020 08:27AM
Regulatory framework consultation paper released

The Canadian Securities Administrators (CSA) has released its long-awaited consultation paper on the framework for self-

INVESTMENT | June 26 2020 11:30AM
False information and unsuitable leverage strategies net former advisor $125K fine

The Mutual Fund Dealers Association of Canada (MFDA) announced it is fining Lachman Hassaram Balani, a former Shah Finan

INVESTMENT | June 19 2020 01:30PM
Advisor banned and fined more than $709K

A hearing panel of the Mutual Fund Dealers Association of Canada (MFDA) has permanently banned former Royal Mutual Funds

INVESTMENT | June 17 2020 12:30PM
MFDA fines and suspends advisor

Former Investors Group Financial Services Inc. advisor, Duke Mongare Ongechi, is facing fines of $20,000 plus costs of $

INVESTMENT | June 12 2020 01:28PM
Securities commission refuses to vacate MFDA decision

The Nova Scotia Securities Commission has dismissed an application made to vacate a Mutual Fund Dealers Association of C

INVESTMENT | June 12 2020 12:32PM