Compliance officers and the executives surveyed see much improvement with the MFDA and cause for concern with IIROC
Borrowing from a client led to potential conflict of interest
Ciardullo engaged in personal financial dealings with at least 15 clients
MFDA panel finds Ontario fund rep failed to observe high standards of ethics
Former advisor sentenced to six years in prison for fraud
Better disclosure needed on proprietary products, suitability, and compensation
Paul Yoannou given six year prison sentence
KYC and suitability obligations apply to all sales of Principal Protected Notes by fund dealer reps
Ex RBC Wealth Management employee admits to forging the signatures of two clients on a financial planning agreement
Amendments detail the general obligations for dealers and reps to assess suitability of client leverage