Changes address client record requirements
Client funds not invested as promised, police say
Regulators takes same action as other provinces
The Mutual Fund Dealers Association of Canada (MFDA) is seeking changes to its recognition orders, and amendments to expand the population of possible public directors.According to the latest OSC Bulletin, the MFDA has submitted an application to the securities regulators in Alberta, BC, Manitoba, Ontario, Saskatchewan, New Brunswick and Nova Scotia to amend its recognition […]
New notice addresses misleading statements
Product suitability issues are on top of clients’ minds
New committee will seek input on issues of importance to clients
Further rules proposals on the way, regulator says
But initiatives need to be harmonized to be effective
Responses due April 30