MFDA fines advisor $30,000 after switching client to deferred sales charge.

Failure to comply with earlier compliance orders leads to further sanctions.

Self-regulatory organization publishes past statistics and priorities for the coming year.

She entered into various joint venture agreements with clients and other investors for the purchase and operation of ren…

London, Ontario dealing representative failed to account for nearly $1.4-million before vanishing once his conduct was d…

Canadian Securities Administrators focus on investor protection in 2022-2025 priorities.

Used vulnerable client’s investment statement as marketing collateral on social media platform.