A BCSC panel has dismissed the MFDA's application to increase the 90-day suspension imposed on an advisor
Boyd Yahn recommended to hundreds of clients that they should invest heavily in precious metals funds
The changes aim to ensure the MFDA’s rules stay consistent with the rules of provincial securities regulators
Former rep misappropriated clients’ funds and failed to co-operate with an MFDA investigation
Former TD advisor admitted to misappropriating clients’ funds and falsifying signatures
Arash Gabriel Armani refused to co-operate with a regulatory investigation into his conduct
The proposed policy sets the minimum educational, training and experience necessary for reps to sell ETFs
The violations in question stemmed from the mutual fund dealer’s failure to implement adequate compliance systems
The firm did not report allegations against a rep to the MFDA’s Member Event Tracking System or carry out an adequate investigation
The proposed new rule would require mutual fund dealers to include the MFDA logo on their client account statements on websites