The proposals deal with accreditation and eligibility periods
The pandemic is proving to be a paradise for cybercriminals
The SROs are urging firms to think about business continuity plans
The SRO’s regional councils preside over disciplinary hearings
Kenmar Associates hopes the review won’t just rubber-stamp a merger of the MFDA and IIROC
Good intentions are no excuse
A discussion paper calls the current system outdated, complex and product-based
Rep took $200,000 from elderly clients and gambled it away, among other violations
The proposal would pave a way for MFDA reps to sell alt funds
The former head of W.H. Stuart Mutuals Ltd. must pay $1.1 million in restitution