Investors cautioned not to purchase securities
With more clients heading for the sun, make sure you don’t execute orders that could run afoul of foreign securities laws
Bob Fleischacker, a partner with Stonehaven Financial Group Inc. in Unionville, Ont., discusses why his firm switched from the MFDA platform to IIROC. He describes the challenges his team faced and the benefits of making the move. He spoke with Dan Richards of clientinsights.ca at the TMX Broadcast Centre.
Draft is a response to rule changes resulting from registration reform
The Ontario regulator has suspended the registration of Blueport Capital and John Hare
Delcourt and Stewart conducted their business as portfolio managers without proper registration
Initiative provides investment advisors registering in multiple states with an easier way to navigate the switch to state registration
Alexander Adams made an “honest mistake” on his application
Several rules get substantive revisions in addition to plain language rewrite
Regulators say they need more time to study the issue