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Keyword: MFDA

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Close up business man signing contract making a deal, classic business

The SRO’s proposed rules got the thumbs-up on Thursday

Planning, risk and strategy in business, businessman gambling placing wooden block on a tower

Sparks flew between the heads of the MFDA and IIROC

  • By: Katie Keir
  • September 26, 2019 September 26, 2019
  • 15:49
Gavel

Six clients, retired or nearing retirement, suffered total losses of at least $73,585

stack of documents or files, overload of paperwork on black background

The regulator will be looking at cybersecurity and protection for seniors

  • By: Staff
  • September 25, 2019 September 25, 2019
  • 17:14
court gavel regulatory

According to the settlement, the firm has taken action to correct the supervisory issues

  • By: Staff
  • September 13, 2019 September 13, 2019
  • 17:19
Concept of important choices of a businessman, Business Challenge

CSA will continue to monitor the industry’s approach to OBSI’s recommendations on investor compensation

  • By: Staff
  • August 15, 2019 August 15, 2019
  • 14:04
Businesswomen

President of PMAC says, “We’ve got to keep the standards high”

scales of justice

Former rep also fined $115,000

  • By: Staff
  • July 30, 2019 July 30, 2019
  • 14:43
stock market price abstract

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

courtroom gavel

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

  • By: Staff
  • May 17, 2019 May 17, 2019
  • 13:17