Ex RBC Wealth Management employee admits to forging the signatures of two clients on a financial planning agreement
Amendments detail the general obligations for dealers and reps to assess suitability of client leverage
Revisions respond to changes in registration rules
Fund salesman’s recommendations had “devastating consequences” for clients, panel says
MFDA fines firm over trade supervision, record keeping
Smilestone prohibited from conducting securities related business for two years
Proposed amendments would allow for flexible approach to supervision
MFDA panel finds rep recommended leverage strategies that were unsuitable for clients
Amendments require securities commission approval before they take effect
By-law amendments confirmed at AGM