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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
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
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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