E-signatures prevent pre-signed forms, but pose other risks, the regulator says
The CSA, IIROC and the MFDA have established a CFRs Implementation Committee
The mutual fund representative said he didn't intend to admit to violations
The self-regulatory organization issues a consultation paper to identify delays
Self-regulatory organization also issued fines totalling $9.3 million in 2019
The man allegedly borrowed more than $500,000 from clients
Bylaw amendments focus on access to records
The regulator has ordered a permanent ban, but only a modest fine, against the former rep
The violation involved more than $400K from four clients
A merger "would not be adequate given the shortcomings of the current SRO system"