MFDA sanctions fund dealer
SRO levies $60,000 fine and orders $10,000 in costs
- By: James Langton
- July 25, 2022 July 25, 2022
- 17:22
SRO levies $60,000 fine and orders $10,000 in costs
Fraudsman falsely claimed connections with Fed, financial firms
Fed's inflation fight to hit spending, investment
One defendant allegedly learned about Merck’s Pandion acquisition; another allegedly learned about the T-Mobile-Sprint merger
The FCAA consults on an approach that would deviate from Ontario's new title rules
The U.S. Federal Reserve's rate hikes aren't suited to address all the causes of high inflation, however
The Investment Industry Association of Canada also announces leadership award winners and Top Under 40 nominees
The money was used to satisfy a margin call
Updates were made to various industry boards
An IIROC hearing panel also permanently banned the former Toronto-area rep
However, the estimate for June points to a slowdown
'Hot print' from Micron Technologies boosted enthusiasm for tech stocks, says portfolio manager
Central bank sees slowdown in wage gains from collective agreements
Rise in benchmark short-term rate to 0.75% is aimed at curbing inflation
Accountant allegedly found assets used to lure investors to schemes
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
Execs that previously pleaded guilty in fraud case accept regulatory sanctions
Plus, Raymond James gains Richardson advisor, and promotions at BMO, CI GAM, Wellington-Altus and more
Provincial regulator can halt trading when misinformation circulates
QAFP exam has one more sitting before title protection transition ends
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, moves at BMO Private Wealth, Fiera Capital and CIBC GAM
Mutual fund, ETF AUM rose for the seventh consecutive month
Plus, other product launches and news, including more ESG fund terminations
More than 300 new products landed in 2025 — a new record