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MFDA seeks additional sanctions in OSC review

James Langton
The Mutual Fund Dealers Association of Canada (MFDA) is seeking a review of a regulatory hearing panel decision, arguing that the sanctions it imposed aren’t adequate.
The Ontario Securities Commission (OSC) will hold a hearing on April 26 to consider an application brought by the MFDA, which is appealing a hearing panel decision that was delivered in January.
In its application, the MFDA argued that the sanctions that were imposed against a former rep in a disciplinary case aren’t sufficient.
The hearing panel in the case ordered that a former rep with Royal Mutual Funds Inc., Omar Enrique Rojas Diaz, be permanently banned and pay $2,500 in costs after he admitted to misappropriating $39,270 from a client’s line of credit in an agreed statement of facts. ....

Omar Enrique Rojas Diaz , Royal Mutual Funds Inc , அரச பரஸ்பர நிதி இன்க் ,

MFDA seeks additional sanctions in OSC review | Investment Executive

James Langton
The Mutual Fund Dealers Association of Canada (MFDA) is seeking a review of a regulatory hearing panel decision, arguing that the sanctions it imposed aren’t adequate.
The Ontario Securities Commission (OSC) will hold a hearing on April 26 to consider an application brought by the MFDA, which is appealing a hearing panel decision that was delivered in January.
In its application, the MFDA argued that the sanctions that were imposed against a former rep in a disciplinary case aren’t sufficient.
The hearing panel in the case ordered that a former rep with Royal Mutual Funds Inc., Omar Enrique Rojas Diaz, be permanently banned and pay $2,500 in costs after he admitted to misappropriating $39,270 from a client’s line of credit in an agreed statement of facts. ....

Omar Enrique Rojas Diaz , Royal Mutual Funds Inc , அரச பரஸ்பர நிதி இன்க் ,

Cornwall financial advisor fined $6,000

Cornwall financial advisor fined $6,000
cornwallnewswatch.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from cornwallnewswatch.com Daily Mail and Mail on Sunday newspapers.

Benjamin Stewart , Rbc Cornwall Jan , Mutual Fund Dealers Association Of Canada , Royal Mutual Funds Inc , Newswatch Group Bill Kingston , Royal Bank , Pitt Street , Bill Kingston , Royal Mutual Funds , Mutual Fund Dealers Association , பெஞ்சமின் ஸ்டீவர்ட் , ர்ப்க் கார்ன்வால் ஜான் , பரஸ்பர நிதி விநியோகஸ்தர் சங்கம் ஆஃப் கனடா , அரச பரஸ்பர நிதி இன்க் , செய்தி கண்காணிப்பு குழு ர சி து கிஂக்ஸ்‌டந் , அரச வங்கி , குழி தெரு , ர சி து கிஂக்ஸ்‌டந் , அரச பரஸ்பர நிதி , பரஸ்பர நிதி விநியோகஸ்தர் சங்கம் ,

Desjardins pays $1-million penalty over mutual fund sales

Desjardins pays $1-million penalty over mutual fund sales
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Desjardins Financial Services Firm Inc. has agreed to pay a $1-million penalty
after industry regulators found it was offering its financial advisers higher compensation to sell its own proprietary mutual funds.
On Wednesday, the Financial Markets Administrative Tribunal approved an agreement between Quebec’s securities watchdog Autorité des marchés financiers (AMF) and Desjardins Financial Services after an investigation revealed that the company’s compensation structure breached regulatory rules. ....

Royal Mutual Funds Inc , Ontario Securities Commission , Desjardins Financial Services Firm Inc , Desjardins Financial Services , Royal Bank , Desjardins Financial Services Firm , Financial Markets Administrative Tribunal , Royal Mutual Funds , Royal Mutual , Financial Advisers , Mutual Funds , Financial Services , Securities Watchdog , அரச பரஸ்பர நிதி இன்க் , ஆஂடேரியொ பத்திரங்கள் தரகு , சேஜார்டின்ஸ் நிதி சேவைகள் நிறுவனம் இன்க் , சேஜார்டின்ஸ் நிதி சேவைகள் , அரச வங்கி , சேஜார்டின்ஸ் நிதி சேவைகள் நிறுவனம் , அரச பரஸ்பர நிதி , அரச பரஸ்பர , பரஸ்பர நிதி , நிதி சேவைகள் , பத்திரங்கள் கண்காணிப்பு ,