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  1. James Langton
    A single system will replace SEDAR, SEDI, NRD, the cease-trade order database, and the national registration search and discipline list
  2. James Langton
    A new survey finds almost all jurisdictions require public companies to have independent audit committees that act in the interest of investors
  3. James Langton
    Guidance says dealers and reps have an important role in preventing financial exploitation
  4. James Langton
    Document provides guidance on the new reports that dealers must start providing to clients
  5. James Langton
    The new model won’t push fees up as much as initially expected
  6. IE Staff
    Measure will further streamline enforcement processes
  7. James Langton
    Although no clients lost money because of the advisor’s recommendations, an IIROC hearing panel said conflicts cannot be tolerated
  8. Tessie Sanci
    An MFDA hearing panel says the full penalty matches the seriousness of the allegations, which were theft and borrowing from clients
  9. Tessie Sanci
    Carla-Marie Aksomitis was found to have stolen approximately $119,000 from a total of 29 clients with Royal Mutual Funds and Royal Bank of Canada
  10. James Langton
    The comment period is open until June 30