Over $2 million went missing in investment scheme
Regulator notice clarifies dealer obligations
Exemptions unavailable to Ontario dealers
Rules to apply equally to business and personal dealings with clients
Program designed to detect potential problems
Former Partners in Planning rep fined $185,000
Says ads promote the merits of leveraging strategies while failing to mention risks
Working group to review MFDA Investor Protection Corp.
Rep failed to account for client funds
TWC rep fined $350,000