Regulatory

NASAA task force cracking down on Covid-related fraud

The umbrella group for North American securities regulators has identified 244 scams

By Staff |August 21, 2020

1 min read

MFDA permanently bans rep who borrowed from client

The former advisor claimed the $16,000 he received was a gift

By Staff |August 20, 2020

2 min read

Scotiabank to pay $127.4M to settle U.S. spoofing and manipulation case

The bank's traders placed orders for futures contracts with intention to cancel, the CFTC says

By The Canadian Press |August 19, 2020

1 min read

MFDA fines firm $100K for supervisory failures

The inadequate supervision involved suitability, concentration in sector funds

By Staff |August 18, 2020

2 min read