Three additional settlement agreements accepted suspending branch managers and issuing fines.
Real estate venture abandoned by former dealing representative.
Regulator settles three separate cases where performance-linked surveys were misdirected.
The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA
The advisor has agreed to pay a fine in the amount of $25,000 and costs of $2,500.
He admitted to engaging in personal financial dealings with clients and circumvented FINTRAC large cash transaction repo
The MFDA announced that it has fined a former advisor $12,500 plus costs after he admitted he used photocopied signature