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Keyword: Mutual fund dealers

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Justice scales and gavel by books

Failing to reveal impaired driving incident leads to denial

School exam student's taking educational admission test in class, thinking hard, writing answer in university classroom, education and world literacy day concept (School exam student's taking educational admission test in class, thinking hard, writing

SRO drops firm sponsorship requirement, among other changes

Hands in the air for questions

Consultation highlights industry concerns

priority

SRO integration and investor protection also on the agenda

angry client meeting

After receiving enhanced statements, clients may have questions, FSRA says

Old and new sign

Fees to rise for most firms as minimums go up, certain dealers pay higher share

online investing

Broker conflicts, finfluencers, gamification among regulators' priorities

Court.

Clients lost more than $1.5 million on rep's failed fintech venture

a man pushing a giant ball while others push squares

Industry divided on, investor advocates opposed to, reforms

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Terms of firm's sale weren't fully disclosed to regulators