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Keyword: Mutual fund dealers

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Robber captured

Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains

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Dealers remain part of Canadian Forum for Financial Markets' mandate, Paglia says

Piles of coins

Effort to gain insight on dealers' clients will seek data from year-end 2026

Phone finances

SRO details its policy priorities for fiscal 2026

penalty card

Rep lost money alongside clients in unapproved outside investment

Board room discussion

All provinces expected to join effort to curb duplication, burden

Rules and regulations

SRO limits margin accounts to Level 4 dealers in final phase of rule consolidation project

Rolled newspaper with the headline Alternative Investments

The associations hope to spark further dialogue among dealers, asset managers around alts

Handshake between two businesspeople

The two firms share a passion for offering an alternative to the banks, Tom Bradley says

Tech lightbulb

The Securities and Investment Management Association will also represent capital markets participants, investment dealers