Sun Life fires dealing representative, regulator levies fines and other sanctions in case where rep covered up complaint…

Mutual Fund Dealers Association of Canada imposes sanctions in response to audit which also discovered pre-signed forms …

He allowed and helped an unregistered representative to transfer accounts and conduct business for four clients.

A Mutual Fund Dealers Association of Canada hearing panel has also permanently banned the rep from conducting securities…

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 …