Provincial regulators finalized recognition orders and interim rules
SRO alleged rep took money from a client who was a fellow fund rep
Potential conflicts involving clients' wills weren't reported to dealer
Timing of bulk trades and poor record keeping results in disciplinary penalties
MFDA panel fines, bans rep after finding numerous violations
MFDA, IIROC seek members for investor panel, deadline Nov. 7
The new organization is looking at joint oversight that rotates among CSA jurisdictions
Fund dealers, investment dealers approve merger, with new SRO to launch in 2023
Breaking down the issues as IIROC and MFDA firms prepare to have their say on the proposed merger
Fees, expenses surging ahead of IIROC-MFDA amalgamation