News and resources for Canada's top financial advisors
Est. 1998
Industry
Fund dealers' first CE cycle to kick off on Dec. 1
By James Langton |July 23, 2021
2 min read
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
By James Langton |July 12, 2021
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
By James Langton |July 7, 2021
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
By James Langton |June 29, 2021
The client was repaid, but the funds used to repay the client came from a mysterious source
By James Langton |June 23, 2021
The proposals are out for a 60-day comment period
By James Langton |June 21, 2021
1 min read
The SRO has warned firms against using delay tactics when a client decides to move on
By James Langton |June 8, 2021
The regulator handed out $3.4 million in fines last year, down from $9.3 million in 2019
By Staff |June 1, 2021
As ETF assets in the MFDA channel continue to grow, more firms are hopping on board
By Katie Keir |May 11, 2021
3 min read
A new MFDA paper aims to take the mystery out of client vulnerability
By James Langton |April 27, 2021
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