Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients
Marianne Harrison promoted to general manager
New fund invests primarily in global convertible bonds
Poor knowledge of the product and its risks lead to $30,000 fine
Red Sky, Lawrence Park get mandates
Expansion of deposit service allows investors to hold physical, allocated silver instead of paper or certificates
Personal finance columnist Ellen Roseman named chairwoman
BoC governor will remain chairman of the Financial Stability Board
Fund dealer improves internal compliance systems
Pointe-Claire man borrowed money from a client without his firm’s authorization