An MFDA Hearing Panel found that Samuel Li, a mutual fund salesperson with Investia Financial Services in Markham, Ontario, draft...
CN Editor
February 01, 2019
FCA APPOINTS EXECUTIVE DIRECTORS TO CO-LEAD ENFORCEMENT AND MARKET OVERSIGHT
NEW SRO ALLEGES PFSL INVESTMENTS CANADA LTD REP USED ALTERED AND PRE-SIGNED ACCOUNT FORMS
FINRA FINES WEBULL $3 MILLION FOR OPTIONS CUSTOMER APPROVAL VIOLATIONS
NEW SRO PANEL REJECTS PROPOSED SETTLEMENT
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OSC TAKES HEAT FOR WHAT IT"S NOT PRIORITIZING
IT"S TIME TO MAKE REMOTE BRANCH INSPECTIONS PERMANENT
TD BANK TO PAY US$1.2 BILLION TO SETTLE STANFORD PONZI SCHEME LAWSUIT
OSC ALLOWED TO USE EVIDENCE COLLECTED IN CRIMINAL CASE, PANEL FINDS