The representative also misled the dealer during an investigation
The CSA is seeking six industry directors and eight independent directors for the board
Regulator makes changes in light of new SRO and forthcoming regulations
Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds
Proposal would replace the requirements under provincial regulators' existing rules
Incentive structure favoured in-house funds over third-party funds, regulator found
Regulators aim to name CEO, board by Q2 next year
The SRO is supporting Osgoode's investor service for two years
The commission ordered sanctions against a former MFDA representative who misappropriated client money
Compliance review uncovered rep's secret sideline