MFDA SANCTIONS SALESPERSON WITH INVESTIA FINANCIAL SERVICES IN MARKHAM, ONTARIO

An MFDA Hearing Panel approved a settlement agreement with Yvonne Yat Sim Chan ("Chan"), a mutual fund dealing representative and...

You need to be a subscriber to view this article. It's free!

Sign In / Sign Up

MFDA Enforcement Supervision

CN Editor

May 08, 2019

Click here to view source article

Related Articles

EUROPE"S NEW AML COP LAUNCHES CONSULTATIONS

February 10, 2026

CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM TORONTO, ON

February 02, 2026

OSC"S DISCLOSURE ISSUES DIDN"T JUSTIFY STAY: TRIBUNAL

January 27, 2026

CIRO ALLEGES FAILURE TO SUPERVISE BY RBC DOMINION SECURITIES

January 23, 2026

SUBSCRIBE

Feedback

THE BANKER, THE BROTHERS, THE FRIENDS AND THEIR FRAUDS

January 08, 2026

2026 COMPLIANCE PRIORITIES AND REGULATORY DIVISION INITIATIVES

January 12, 2026

DRAMATIC INCREASE IN FINTRAC FINES COMING, BUT THEIR EFFECTIVENESS IS LESS CLEAR

January 05, 2026

CIRO SANCTIONS FORMER RBC DOMINION SECURITIES REP FROM ONTARIO

January 16, 2026