MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals
The commission ordered sanctions against a former MFDA representative who misappropriated client money
B.C. court dismisses appeal in "enhanced compensation" case
The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money
Case claimed extra compensation for selling in-house funds harmed investors
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds
Bank expands branch-based investing opportunities
Changes to Select portfolios put off until September