New bulletin suggests methods for firms to protect the confidentiality of their sensitive client data
An MFDA hearing panel announced a $7-million fine for Dianne Stuart and a $1-million fine for Howard Stuart
The document, which provides further clarification on certain issues, also encourages members to meet with MFDA staff to review their new CRM2 client reports
A regulatory hearing panel has ordered that Rodney Warren also be suspended for 90 days, pay costs of $10,000 and face strict supervision
The founders have also been ordered to pay $50,000 toward the costs of the hearing, but monetary policies will come “in due course”
Although only the CSA has the jurisdiction to change the regulatory landscape in Canada, the white paper raises some very important questions for regulators, said Mark Gordon
The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients
The regulator is also taking a proactive approach to members’ concerns about cost and compensation reporting coming into effect with CRM2
Fund dealers dispute liability for former advisor’s misconduct
Bulletin aims to enhance awareness and understanding of the special audit requirements for external auditors of mutual fund dealers