Commission structures, account transfer standards and dual registration are all in the works
Former fund rep fined, banned by regulators for misappropriation
New branding would replace existing logos by the end of 2024
A review identified gaps in addressing conflicts associated with proprietary products
Panel concluded that rep was participating in proceeding anonymously
Rep fined, banned after borrowing from clients, misleading dealer
The case can either proceed to a contested hearing or the two sides may seek a new deal
Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law
B.C. court strikes certain claims in rep's wrongful dismissal suit
Dorothy Sanford, former head of MFDA IPC, heads new investor group