The RAC serves as a forum to discuss compliance and registration issues
Terms and conditions proposed by settlement agreement provide a means to detect or prevent future misconduct
The inability to successfully pass the exam after four attempts demonstrates that the rep lacks the requisite proficiency
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
Hearing panel rules rep unsuitable based on a lack of proficiency and integrity
The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail
A volunteer minister is prohibited from having members of his church as clients
The changes aim to ensure the MFDA’s rules stay consistent with the rules of provincial securities regulators
Regulars say false and misleading applications pose a serious problem
The two regulators will inform each other when they refuse to register or license an individual registered with the other regulator