Actions represented a "serious" conflict of interest, panel says
Rep circumvented registration limits to trade wider range of securities
Firm was alerted to $1 million in missed grants by government review
Settlement hearing with Royal Mutual Funds scheduled for Oct. 15
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