The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money
Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks
Conflicts-related CFRs were discussed by Agora at the FMFD conference
The CSA will finalize rules designed to protect vulnerable clients by early summer
Man also admitted he used pre-signed forms
A forum of industry associations hopes a consolidated SRO will create a more level playing field while strengthening investor protection
Panel sanctions rep for misappropriating client money and fabricating an account statement
The association delivered its proposed roadmap to inform a CSA decision due this summer
Dealers should examine their client reports for unusual or incorrect information
The regulators are reviewing submissions to the consultation that closed in October