Industry

Forgery costs advisor $2,500 fine

A settlement hearing in the matter of Jade Truman Kaiser Mason was held today in Halifax, Nova Scotia before a hearing panel of the MFDA's Atlantic Regional Council.

By Staff |March 15, 2012

1 min read

Fund sales soar in February

As is often the case, the mutual fund industry enjoyed solid sales in February, with net inflows to long-term totalling $7.9 billion, according to data from IFIC. That’s up from $3.6 billion in January.

By Staff |March 15, 2012

2 min read

Goldman resignation letter stirs hornet’s nest

Last week, few people probably knew who Greg Smith was, despite his lofty role as executive director at Goldman Sachs. After his very public resignation, however, he is the talk of business world.

By Staff |March 15, 2012

1 min read

UMIR lapse results in $30,000 fine

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between the IIROC staff and William Geddes.

By Staff |March 15, 2012

1 min read