Regulator would like to improve its outreach to smaller firms
Prospective fund rep failed to disclose her prior employment in registration application
Connor Financial has declined to compensate several retail investors
Bulletin outlines eight areas of focus, including exempt securities, outside business activities and leverage
Last step in the purchase transaction between Jovian and DFS
Fund dealer improves internal compliance systems
Platform marks a milestone in the integration of MRS Companies
Deal broadens fund dealer’s network of financial advisors to more than 215 associates
Independent Accountants’ Investment Group to resign MFDA membership
The board is working through a set of key priorities for the coming year