AMF alleges firm was late in pay registration fees
Jarislowsky, Fraser agrees to pay registration fees
Individuals must enroll in continuing education program
Firms must register by November 30
Quebec enrolment deadline set for January 1
Says firm-only registration would complicate national system
Regulator cites role in $1.25 million loss
The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual Fund Dealers association.The firm, Norlyn Financial Group Inc., was first granted registration in 1998 as a securities dealer. In May 2001, Norlyn changed its registration category to mutual fund dealer. […]
Applicants would only have to file with one regulator
EFT requirements waived