The SRO wants to make sure firms’ client reporting is accurate
The decision is the latest in connection with falsified loan applications through Investors Group
Talk of merging the SROs has surfaced repeatedly over the years
The rep also had a dual occupation as a telemarketer
The MFDA’s public and industry directors have also been approved
The rep was being investigated for allegedly draining his father’s investment accounts
Engaging in unapproved outside business represents a clear conflict of interest and prevents fund dealer supervision
Recommendations designed to safeguard vulnerable clients from financial exploitation and diminished capacity
Prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging, the author argues
MFDA panel says respondent “caused significant damage to the integrity of the capital markets”