New name will come into effect on Nov. 1
The fund dealer is likely to become undercapitalized, according to the MFDA
Firms must be careful not to inherit problems when acquiring another dealer
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