Panel won’t overrule policy decision made by the commission as a whole
Goldstein and Valenti receive the most votes
Penalties imposed by NBSC will protect the public, say MFDA staff
Horvath permanently banned from conducting securities-related business
MFDA members in Ontario and Newfoundland given 2-year transition period
Number of directors increases to 15
New CSA rule will spell changes to proficiency requirements, compliance systems, among other things
Deficiencies at De Thomas Financial earn $10,000 fine
Guide intended to help dealers identify any gaps in their written policies and procedures
Some groups say rule proposals are too costly