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Monday March 02, 2020
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From the Regulators
Court green-lights trailer fee class action against TD
An Ontario court certified the class action against TDAM over its funds paying trailers to discount brokers
February 28, 2020

Industry News
Tax fraud lands scammer in slammer
A tax preparer used his inside knowledge of CRA operations to file fraudulent returns
February 28, 2020

From the Regulators
Wells Fargo sanctioned for risky ETF sales
The SEC found some reps recommended funds they didn't understand
February 28, 2020

Industry News
Richardson GMP changes name to Richardson Wealth
GMP Capital says it would consider acquisitions of "like-minded" IIROC-member businesses
February 28, 2020

From the Regulators
Dogged tipster earns SEC payout
The SEC has now paid almost US$400 million to whistleblowers
February 28, 2020

From the Regulators
Fraud thrives in turbulent markets
Investors may be vulnerable to scams as volatility rises, FINRA warns
February 28, 2020

Industry News
Powell says Fed will “use our tools” to support economy
February 28, 2020

Appointment Notices
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