The MFDA has commenced disciplinary proceedings in respect of Kyle Norman Kidnie (“Kidnie”), a former mutual fund salesperson wit...
CN Editor
April 04, 2019
CIRO SANCTIONS FORMER PFSL INVESTMENTS CANADA REP FROM ST. THOMAS, ON
CIRO SANCTIONS FORMER BMO INVESTMENTS REP FROM GUELPH, ON
CIRO SANCTIONS SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) REP FROM SASKATOON, SASKATCHEWAN
CIRO SANCTIONS FORMER INVESTORS GROUP FINANCIAL SERVICES REP FROM VANCOUVER, BC
Thank you for the feedback!!
OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP