Industry News

Mackenzie seeks changes to Symmetry funds

Mackenzie Financial Corporation proposes changes to investment objectives of three of its funds.

By Staff |July 13, 2012

1 min read

Former IPC rep to pay $35,000

A hearing panel of the Central Regional Council of the MFDA has issued Reasons for Decision, in connection with the disciplinary on June 1, 2012 in the matter of Jeffrey Murray Willis. Willis was registered in Ontario as a mutual fund salesperson with IPC Investment Corporation from August 6, 1999 to May 31, 2009, and […]

By Staff |July 13, 2012

1 min read

Former Investia rep fined $150,000 for outside activities

A disciplinary hearing in the matter of Punch Bun Chiu Lui, a mutual fund salesperson with Investia Financial Services, was held yesterday before a hearing panel of the MFDA’s Central Regional Council. The panel found Chiu Lui guilty of allegations set out in a notice of hearing dated April 12, 2012. They were: Allegation #1: […]

By Staff |July 13, 2012

2 min read

Ex-MGI Financial rep fined $150,000

A disciplinary hearing in the matter of Jose Luis Bautista, a mutual fund salesperson with MGI Financial Inc., was held yesterday before a three-person hearing panel of the MFDA’s Central Regional Council. It found Bautista guilty of the allegations set out in a notice of hearing dated January 23, 2012. They were: Allegation #1: Between […]

By Staff |July 13, 2012

1 min read