Regulation

MFDA rep banned for misappropriating client money to repay personal debts

January 6, 2017 Tessie Sanci

IIROC panel accepts settlement with Union Securities

January 3, 2017 IE Staff

Compliance Calendar for Advisors 2016

December 30, 2016 IE Staff

NSSC issues cease trade order against former mutual fund salesperson

December 23, 2016 James Langton

IIROC seeks members for new advisory committee on proficiency issues

December 22, 2016 James Langton

New guidance from OSC on mutual fund-sponsored sales conferences

December 22, 2016 James Langton

MFDA receives client complaints about proprietary products

December 22, 2016 James Langton

OSC reviews RESP providers

December 22, 2016 James Langton
OSC reviews RESP providers

FINRA fines 12 firms a total of US$14.4 million

December 21, 2016 James Langton

OSFI issues draft guideline on model risk management

December 21, 2016 James Langton

IOSCO flags risks of OTC leveraged products

December 21, 2016 James Langton

NASAA launches investor education initiative

December 20, 2016 James Langton