Three dealing representatives – two primary approved persons and their assistant – with Sun Life Investment Services (Ca…

He was fined and suspended for processing pre-signed account forms.

Quadrus admitted that its internal dealer incentive and sales practices excluding the sale of third-party mutual funds f…

The Mutual Fund Dealers Association of Canada recognizes FP Canada to perform assessments of CE activity against standar…

Wronged investors receive free legal advice

One representative was also sanctioned for cutting and pasting two client signatures from used forms onto new account fo…

In an unusual turn of events, the Ontario Securities Commission has weighed in on a Mutual Fund Dealers Association of C…