New solution provides real-time market visibility on Canada-listed ETFs for mutual fund advisor community
SRO points to technological improvements, automated processes, and standardized forms as possible solutions to delays
MFDA upholds sanctions against ex-dealing rep who deposited funds from redemptions into his own account
Annual enforcement report highlights work on complaint handling, suitability, and protecting vulnerable investors
Kenmar Associates says 2022 ban on trailing commissions shouldn't act as license for long-standing 'malpractice' among OEO firms
New paper from regulator highlights factors behind vulnerability and how firms can help protect at-risk clients
Tech platform firm Agora Dealer Services is on a mission to help small independent dealers go toe-to-toe against larger firms
SROs separately handed down lifetime prohibitions for respondent’s off-book syndicated mortgage sales
Report from pan-Canadian regulator underscores ongoing issues and upcoming policy initiatives
Plan proposes to promote public confidence by establishing new entity, rather than merge existing SROs, over an 18-month timeline
