The MFDA has been informed that Lincluden Mutual Fund Dealer Inc. intends to resign its membership in the MFDA. The resignatio...
CN Editor
January 23, 2019
MUTUAL FUND DEALER CE CYCLE 1, ENDING NOVEMBER 30, 2023
CIRO SANCTIONS A MUTUAL FUND SALESPERSON WITH INVESTORS GROUP FINANCIAL SERVICES IN ETOBICOKE, ON
OTT FINANCIAL CHANGES ITS NAME
CANADIAN SECURITIES REGULATORS PUBLISH ANNUAL ACTIVITIES REPORT ON THE OVERSIGHT OF SROS AND INVESTOR PROTECTION FUNDS
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS