News and resources for Canada's top financial advisors
Est. 1998
Industry
Fees, expenses surging ahead of IIROC-MFDA amalgamation
By James Langton |September 16, 2022
2 min read
Karen McGuinness appointed as president and CEO
By Staff |September 16, 2022
SRO sought to investigate after compliance review discovered pre-signed forms
By Staff |September 1, 2022
1 min read
Ontario court orders summary judgment in favour of bank
By James Langton |August 10, 2022
Enforcement penalties will be used to help fund the new SRO
By James Langton |July 28, 2022
The estate redeemed the funds when the client died, incurring $24,380 in fees
SRO levies $60,000 fine and orders $10,000 in costs
By Staff |July 25, 2022
The money was used to satisfy a margin call
By Staff |July 22, 2022
The four victims included insurance clients and were the advisor's family members
By Staff |July 21, 2022
Real estate deals, outside businesses and exempt market sales violated MFDA rules, panel found
By James Langton |July 7, 2022
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