Canadian securities regulators actively seeking candidates for CEO and board
Self-regulator urges member firms to align with prohibition before May 2022 effectivity date
Industry association urges provincial regulator to carve out exemptions to avoid 'unnecessary duplication, confusion, and cost'
Credentials and licensing leader at CSI backs MFDA's proposed proficiency rule for advisors to distribute liquid alts
Ex-fund rep provided false statements to clients, firm as he diverted hundreds of thousands of dollars into his own accounts
MFDA details how former Ontario fund representative enabled banned person to continue servicing clients
Self-regulator floats policy to replace provincial regulators' exemption order
Regulator uncovers more than 15-year failure to establish adequate system of controls to ensure adherence to securities law
Ex-dealing rep paid for leveraged investments he'd recommended, and borrowed $110,000 from a senior
CEO and board of new self-regulator to be announced in Q2, with new organization and investor protection fund by end of 2022
