New bulletin also states that the SRO is concerned about the prevalence of reps falsifying client signatures
Most of the 29 comments the SRO received on a consultation paper contemplating rule amendments were supportive of the idea
Former HollisWealth advisor admitted to soliciting and accepting more than $2 million from clients and others and depositing those funds into accounts under his control
Grant Manning engaged in personal financial dealings with a client, misled dealers
Money from promissory notes used to finance drug addiction
The regulator is seeking feedback on whether to include costs imposed by fund managers
Members approve rule amendments
The goal is to promoted client awareness
White paper opens the door to SRO merger and raises complex issues that will require a thorough policy debate, some say
The SRO’s staff proved allegations that the two former reps failed to co-operate with the MFDA’s investigation into the failed mutual fund dealer