MFDA

MFDA permanently bans another man for falsifying a loan application Fallback Image Decorative pattern

Industry

MFDA permanently bans another man for falsifying a loan application

Former rep also fined $115,000

By Staff |July 30, 2019

2 min read

Peak’s mutual fund reps access platform-traded funds Fallback Image Decorative pattern

Industry

Peak’s mutual fund reps access platform-traded funds

It's the first dealer to offer access to the funds listed on NEO

By James Langton |July 11, 2019

1 min read

IG settles with MFDA over suitability of DSC sales to elderly clients Fallback Image Decorative pattern

Industry

IG settles with MFDA over suitability of DSC sales to elderly clients

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

By Staff |May 17, 2019

2 min read

IIROC suspends and fines investment advisor $65K Fallback Image Decorative pattern

Industry

IIROC suspends and fines investment advisor $65K

Unsuitable recommendations for seniors highlighted in enforcement decision

By Staff |May 9, 2019

2 min read