Ex Canfin salesman banned for having personal financial dealings with a client and failing to co-operate with an investigation
Police investigating fraud allegations against Jennifer Killins in response to investor complaints
FundEX and Investia ordered to implement leverage review action plans
Ontario fund dealer penalized for supervisory failings and poor record keeping
Deadline for applications is Feb. 29
Dealer failed to supervise leveraged trades, MFDA says
A dealer’s examination cycle may change
Regulator will maintain its current approach of addressing issues directly as they arise
Implementation suspended pending harmonization with standards being developed by the CSA
Several changes to KYC and supervisory requirements take effect December 3