Self-regulatory organization finds former dealing representative misappropriated money and engaged in personal financial dealings
Responsible Investment Association argues lack of standards should not prevent conversations around sustainability and values
SRO's annual report touts wins in pandemic operations, engagement with other regulators, and investor protection initiatives
Response to MFDA consultation urges changes to client risk profiling, plain-language explanations, and incorporating TCP info
Advisors, MFDA, IIROC, and PMAC applaud CSA's plan to create single regulatory organization
Transition to single Canadian self-regulator hailed as a bellwether for enhancing public confidence and investor protection
Report outlines findings and recommendations for members to consider in instances of aberrant returns
A new report from the regulator suggests ways that fee disclosures in annual statements could be clarified
Amendments affecting all registered firms, including IIROC and MFDA registrants, to come into force on December 31
New solution provides real-time market visibility on Canada-listed ETFs for mutual fund advisor community
