News and resources for Canada's top financial advisors
Est. 1998
Industry
Ex-fund rep misappropriated client money and disappeared
By James Langton |July 4, 2022
2 min read
Regulators are also forming a new advisory committee to review SRO consolidation
By Staff |June 27, 2022
The OSC and the MFDA team up in case against fund rep
By James Langton |June 14, 2022
It remains up to regulators to act on long-standing recommendation
By James Langton |June 13, 2022
3 min read
Appointees will join new SRO's disciplinary committees
By James Langton |June 6, 2022
The Canadian Securities Administrators have also launched a consultation on the new regulator's interim rules
By James Langton |May 12, 2022
Interim rules coming in May, with new CEO, board to be named in Q2
By James Langton |April 5, 2022
A panel found the MFDA's suspension was unreasonable and disproportionate for a minor violation
By James Langton |March 28, 2022
Majority dismisses appeal, rejects proposed class action
By James Langton |March 1, 2022
The CSA is seeking six industry directors and eight independent directors for the board
By James Langton |January 21, 2022
1 min read
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