MFDA

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

Provincial regulators finalized recognition orders and interim rules

By James Langton |November 24, 2022

2 min read

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

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

By James Langton |November 14, 2022

1 min read