Regulator sets out draft priorities for fiscal 2024
Potential conflicts involving clients' wills weren't reported to dealer
Timing of bulk trades and poor record keeping results in disciplinary penalties
Review considers doing away with dedicated directors, alternate input mechanisms
MFDA panel fines, bans rep after finding numerous violations
SRO gets green light to help finance initial merger costs
MFDA, IIROC seek members for investor panel, deadline Nov. 7
The new organization is looking at joint oversight that rotates among CSA jurisdictions
How the new self-regulatory organization will handle fees, advisor incorporation, rule harmonization and more
Fund dealers, investment dealers approve merger, with new SRO to launch in 2023