Regulatory breaches include failure to supervise the trading activity
Amendments aim to harmonize requirements with provincial registration rules
Amendments partly represent MFDA’s implementation of the Client Relationship Model
Dealer fined $50,000 for compliance deficiencies
Sampson admits misappropriation of client funds
Oversight review recommends changes to compliance operations
Former Ontario Deputy Minister brings regulatory experience
New rule would require dealers to advise clients of direct transaction fees and charges upfront
Brown banned for misleading his firm and the MFDA
Disenhouse sold $730,000 in securities not approved by his firm