Rep banned for selling syndicated mortgage investments

Permanent prohibition, fine and costs ordered for outside activities.

INVESTMENT | October 03 2022 10:44AM
New self regulatory organization approved

Members of the MFDA and IIROC passed a special resolution approving the amalgamation of their organizations.

INVESTMENT | September 30 2022 10:58AM
Fund salesperson banned for outside activities

Regulator issues notice of proposal to revoke insurance licenses as well.

LIFE INSURANCE | September 23 2022 03:46PM
Saskatchewan urged to drop proposed competency rules for advisors

Submission suggests that a non-harmonized approach to title regulation should be reconsidered.

INVESTMENT | September 21 2022 10:23AM
Mutual Fund Dealers Association of Canada appoints new President & CEO

She will take the place of Mark Gordon who will continue with the organization in a new role.

INVESTMENT | September 20 2022 10:35AM
Failing to cooperate with regulator results in ban and $40,000 fine

Dealing representative being investigated for copying client signatures.

INVESTMENT | September 07 2022 10:40AM
Rep suspended after 134 altered forms discovered

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

INVESTMENT | September 06 2022 09:36AM