Panel finds KYC, suitability failings
Consultation group intended to provide MFDA staff with input from dealers on the challenges they face in servicing senior clients
Fund sales person failed to cooperate with an investigation
Canadian investors can test their fraud awareness knowledge
There's still much confusion among advisors and their mutual fund dealers about the sale of syndicated mortgages
Other priorities for 2015 include seniors, fee arrangements and pre-trade disclosure
MFDA bans former advisor for personal financial dealings, outside business activities
MFDA permanently bans former Ontario rep for KYC, leverage violations
Fund dealers that sell the securities must also be licensed as mortgage brokerages
Former PFSL rep permanently banned for misconduct