MFDA

MFDA panel hands down permanent ban, $1.7-million fine

Ex-fund rep misappropriated client money and disappeared

By James Langton |July 4, 2022

2 min read

IIROC’s Kriegler to lead new SRO

Regulators are also forming a new advisory committee to review SRO consolidation

By Staff |June 27, 2022

2 min read

OSC panel finds rep violated OSC and MFDA rules

The OSC and the MFDA team up in case against fund rep

By James Langton |June 14, 2022

2 min read

Review recommends binding powers for OBSI — again

It remains up to regulators to act on long-standing recommendation

By James Langton |June 13, 2022

3 min read