New SRO aims to harmonize requirements for fund dealers and investment dealers
AMF, provincial government approve delegation of powers to SRO
Fees for investment dealers to rise 6.4%, annual report says
SRO to expand former MFDA project to all dealers in 2024
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