Rule amendments approved at annual general meeting
Regulator maintains that syndicated mortgages are securities; reps must put this business through their fund dealers
Former FundEX salesman recommended exempt market products to clients without the knowledge or approval of his firm
Amendments would revise rules to mirror the CSA’s CRM 2 requirements on relationship disclosure, transaction fees and trade confirmations
Ricardo Cavalli sold exempt securities to clients without using or notifying the firm
Brochure explains the need to collect personal information from clients
New rules will give dealers greater flexibility in supervising branch offices
MFDA panel finds that Dorothy Siu Wah Chan misappropriated more than $750,000
Firms that don’t allow the use of social media should have policies addressing their position
MOU includes mechanism for resolving disagreements about proposed changes