Comment letter emphasises need to ensure industry interests don't overshadow investor concerns in SRO consultation
Comments reflect support for consolidation, oppose inclusion of other registration categories
MFDA concludes failure to execute purchases in a timely manner added to respondent's compensation to clients' detriment
Investment fund industry players will have to grapple with tough questions before rules take effect in 2022
IIROC statement describes abuses of employer trust through backdated and cancelled transactions
Ex-TD Bank employee must pay almost $100,000 for violations that affected four people, two of whom were clients
