MFDA

Decorative pattern

MFDA firms limited DSC fund sales well ahead of ban: report

Also, fewer advisors left the advisory channel as the ban's effects faded

By Staff |January 11, 2023

2 min read

Decorative pattern

New SRO launches with IIROC-heavy executive team

The new agency has a website but its name will come later

By James Langton |January 3, 2023

2 min read

Decorative pattern

Scotia sanctioned for supervisory snafus after multiple reps fired

The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers

By James Langton |December 22, 2022

3 min read

New SRO gets formal approval from CSA

New SRO gets formal approval from CSA

Provincial regulators finalized recognition orders and interim rules

By James Langton |November 24, 2022

2 min read

Decorative pattern

Rep fined, banned for misappropriation

SRO alleged rep took money from a client who was a fellow fund rep

By James Langton |November 22, 2022

1 min read

Former fund rep sanctioned over clients’ estate disclosures

Estate Planning

Former fund rep sanctioned over clients’ estate disclosures

Potential conflicts involving clients' wills weren't reported to dealer

By James Langton |November 14, 2022

1 min read

Decorative pattern

Ex-rep sanctioned for discretionary trading

Timing of bulk trades and poor record keeping results in disciplinary penalties

By James Langton |November 11, 2022

2 min read

Decorative pattern

Failed leverage strategy ends in sanctions

MFDA panel fines, bans rep after finding numerous violations

By James Langton |November 3, 2022

2 min read

Decorative pattern

New SRO begins work on IAP

MFDA, IIROC seek members for investor panel, deadline Nov. 7

By James Langton |October 5, 2022

2 min read

SRO may adopt new regulatory oversight model

SRO may adopt new regulatory oversight model

The new organization is looking at joint oversight that rotates among CSA jurisdictions

By Greg Meckbach |October 3, 2022

2 min read

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