OSC approves amendments to MFDA rules concerning the segregation of client property
Deficiencies found during Independent Accountants’ Investment Group compliance exam
A case underway before the MFDA shows how the divvying up of regulation may compromise investors
Six-month prohibition from conducting securities related business for Jade Mason
Amendments harmonize delivery requirements
Anu Jain permanently banned from acting as a supervisor for facilitating stealth advising by an unregistered person
Deadline for submissions is March 30
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Ex Canfin salesman banned for having personal financial dealings with a client and failing to co-operate with an investigation
Police investigating fraud allegations against Jennifer Killins in response to investor complaints