Regulator continues crackdown on efforts to thwart client feedback

Three additional settlement agreements accepted suspending branch managers and issuing fines.

INVESTMENT | July 14 2023 03:35PM
Outside business activities end in five-year ban, fines and costs

Real estate venture abandoned by former dealing representative.

LIFE INSURANCE | July 07 2023 03:30PM
Efforts to thwart client feedback ends in regulatory sanctions

Regulator settles three separate cases where performance-linked surveys were misdirected.

LIFE INSURANCE | July 06 2023 03:30PM
Timeline announced for creation of new self-regulatory organization

The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA …

INVESTMENT | November 19 2021 10:30AM
Regulator fines advisor for using pre-signed forms in his former practice

The advisor has agreed to pay a fine in the amount of $25,000 and costs of $2,500.

INVESTMENT | September 20 2021 03:37PM
Former advisor sanctioned with five-year ban and fine

He admitted to engaging in personal financial dealings with clients and circumvented FINTRAC large cash transaction repo…

INVESTMENT | April 15 2021 04:00PM
MFDA fines former advisor for photocopying signatures

The MFDA announced that it has fined a former advisor $12,500 plus costs after he admitted he used photocopied signature…

INVESTMENT | August 17 2020 12:00PM