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The SRO has warned firms against using delay tactics when a client decides to move on

gavel

The regulator handed out $3.4 million in fines last year, down from $9.3 million in 2019

  • By: Staff
  • June 1, 2021 June 1, 2021
  • 15:24
loudspeaker

As ETF assets in the MFDA channel continue to grow, more firms are hopping on board

A new MFDA paper aims to take the mystery out of client vulnerability

File

The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

Businessman crossroads concept choosing the right path as a man on a track and field sport track facing a difficult choice and dilemma with two different business directions as a metaphor for decision crisis

Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks

close up, business man or lawyer accountant working on accounts using a calculator and writing on documents

Conflicts-related CFRs were discussed by Agora at the FMFD conference

senior client debt empty wallet

The CSA will finalize rules designed to protect vulnerable clients by early summer

  • By: Staff
  • April 15, 2021 April 15, 2021
  • 11:47
Lawyer

Man also admitted he used pre-signed forms

  • By: Staff
  • April 7, 2021 April 7, 2021
  • 16:52
Megaphone

A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection