The Ombudsman for Banking Services and Investments has released its year-end complaint volume figures for 2021.

Failure to maintain a RAC greater than zero considered serious misconduct, says MFDA.

A hearing panel of the Mutual Fund Dealers Association of Canada also permanently banned the former Sun Life Financial I…

Calgary advisor falsified statements and borrowed money from clients.

The Mutual Fund Dealers Association of Canada has announced two separate settlement agreements involving pre-signed form…

Two regulators have both entered into settlement agreements with Vancouver-based Credential Asset Management over the fi…

The MFDA fined an Ontario-based rep $27,000 plus costs.