Regulatory

CSA releases Fund Facts mock-up for investors

The Canadian Securities Administrators have released a sample Fund Facts document to help investors understand their mutual funds.

By Staff |November 5, 2014

1 min read

Former MFDA rep banned, fined $250,000

A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada has issued a Reasons for Decision document.

By Staff |November 4, 2014

1 min read

Rep barred for fake portfolio statements

Following a disciplinary hearing held on August 26, 2014, in Toronto, Ontario, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has barred and fined Mark Fridgant.

By Staff |October 31, 2014

1 min read

IIROC publishes debt transaction reporting rule

IIROC's published a new debt transaction reporting rule that will take effect in November 2015.

By Staff |October 31, 2014

2 min read