Industry News

MFDA bans, fines rep for failure to respond

On Oct. 11, 2017, an MFDA hearing panel permanently banned and fined a previously registered representative, Walter John Dixon. The sanctions result from Dixon’s failure to respond to numerous communication attempts by the MFDA about a client complaint. Over 11 months, the MFDA attempted to contact Dixon by regular mail, registered mail, process servers, email […]

By Staff |November 15, 2017

1 min read

Why to report outside business activities

Whether you're a hockey coach or partner in a business, regulators want to know

By Katie Keir |November 14, 2017

4 min read

An algorithm may decide your next compliance review

Software can discover traders’ patterns, behaviours and relationships, all without human instruction

By Simon Doyle |November 14, 2017

5 min read

Quotas needed to get women on boards: AFFQ

The introduction of the Comply or Explain disclosure guideline in 2014 has yielded very limited progress over the last three years.

By Staff |November 14, 2017

2 min read