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…

Tim Prescott's successor is about to wrap up the transfer of Excel Private Wealth clients and is forming his Québec team…

A former rep has been fined and banned for a period of five years.

He has also been permanently banned by the MFDA.