The MFDA has commenced disciplinary proceedings on John David Elwood ("Elwood"), a former salesperson with FundEx Investments in ...
CN Editor
June 26, 2019
CIRO ALLEGES WRONGDOING BY FORMER REP WITH IPC INVESTMENT CORPORATION IN CALGARY
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
CIRO SANCTIONS FORMER ROYAL MUTUAL FUNDS REP FROM SURREY, BC
CIRO SANCTIONS FORMER SCOTIA CAPITAL REP FROM TORONTO, ON
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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