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Association president and CEO discusses changes under his tenure and future challenges

In a wide-ranging interview covering topics from the gamification of trading to advisor proficiency, Paul Bourque, outgo…

SOCIETY | November 03 2022 10:55AM
Photocopying signatures constitutes falsification

Representative sanctioned for reusing signature pages and for altering client forms without obtaining client initials.

INVESTMENT | November 03 2022 10:03AM
Rep pays $24,500 in sanctions for keeping pre-signed forms

Forms signed in 2017 discovered in 2021 file review.

INVESTMENT | October 31 2022 10:30AM
Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Regulator seeks education provider

Expressions of interest requested by December 16.

INVESTMENT | October 13 2022 09:06AM
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Regulator seeks education provider

Expressions of interest requested by December 16.

SOCIETY | October 12 2022 10:40AM
New self regulatory organization: Firms can retain their business models

The head of the new SRO that merges the IIROC and the MFDA, says it will not force any firm to change its basic foundati…

INVESTMENT | October 04 2022 10:58AM