Canada’s patchwork of regulators allows wrongdoers to handle clients’ finances years after they've been permanently banned from the securities industry.
Our investigation has put the spotlight on a number of systemic but easily avoidable regulatory deficiencies.
A settlement hearing in the matter of Brian Blundell was held on May 12, 2016 in Vancouver, British Columbia before a three-member hearing panel of the Pacific Regional Council of the MFDA.
IFIC has raised objections to an IIROC proposal that would change the face of the industry.
The MFDA has assembled a toolkit for helping clients avoid investment fraud.
2015 saw the highest number of proceedings commenced by the MFDA in any year to date.
MFDA is looking for nominees to stand for election to its four regional councils.
A three-member hearing panel of the MFDA recently heard two separate proceedings.
MFDA's board has a new chair and vice-chair.
MFDA’s proposed ETF proficiency rules, if accepted, mean advisors will have to study up before selling the funds