Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger
From leadership restructuring to the creation of a new role, it's a busy start to the fall
Fees, expenses surging ahead of IIROC-MFDA amalgamation
Karen McGuinness appointed as president and CEO
SRO sought to investigate after compliance review discovered pre-signed forms
Ontario court orders summary judgment in favour of bank
Enforcement penalties will be used to help fund the new SRO
Rep fined after switching a nonagenarian's account into a DSC fund
SRO levies $60,000 fine and orders $10,000 in costs
The four victims included insurance clients and were the advisor's family members