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Business woman showing stock market financial situation

Violations of the rule involve certain incentives programs

Businessman hand showing financial report on table

The “majority” of dealers are disclosing DSCs adequately, but some reported DSCs and trailer fees bundled together, new MFDA report finds

Canadian insurance regulators focus on three key priorities

The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors

BMO GAM’s Ross Kappele elected IFIC chairman

OSC to hear both sides in case of advisor who accepted loan from clients

MFDA bans former rep for recommending unsuitable strategy

The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk

In the event the panel accepts the settlement, it will provide written reasons for its decision

  • By: IE Staff
  • December 20, 2017 December 20, 2017
  • 17:30

The settlement aims to resolve a series of alleged supervisory shortcomings.

BMO GAM’s Ross Kappele elected IFIC chairman

Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients

  • December 1, 2017 December 1, 2017
  • 12:20
Law Commission of Ontario proposes new rules relating to POAs

Infractions range from the use of blank forms signed in advance by the client to actively signing the client’s name

IIROC reaches settlement with three former All Group reps

One rep lived and worked in the United Sates and served clients over the phone