Outside and private dealings lead to $150,000 fine
SRO recommends asking clients for a trusted contact person, putting temporary holds on suspicious transactions
A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging
The former rep has been permanently banned and ordered to pay more than $1.6 million
The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients
SRO wants to ensure fund reps' skills and industry knowledge remain up to date
The heads of the MFDA and IIROC squared off on the future of SROs
Clients were advised to concentrate their holdings in precious metals sector funds
Areas where future regulatory policy is expected include cybersecurity and protecting seniors
The self-regulatory organization says its proposal is being “purposely misinterpreted”