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BC bank manager fined $50K after changing customer profiles

A former TD Bank branch manager was found to have committed a "serious breach" of the code of conduct after updating 27 customer contact preferences.

Jennifer behTd bankCanadian investment regulatory organizationMutual fund dealers associationTd investment services incHearing panelInvestment industry regulatory organization of canadaApproved personApproved personsInvestment industry regulatory organizationSecurities act

BC bank manager fined $50K after changing customer profiles - Bowen Island Undercurrent

A former TD Bank branch manager was found to have committed a "serious breach" of the code of conduct after updating 27 customer contact preferences.

Jennifer behCanadian investment regulatory organizationTd investment services incMutual fund dealers associationInvestment industry regulatory organization of canadaTd bankHearing panelApproved personApproved personsInvestment industry regulatory organizationSecurities act

Globe Advisor s Best of 2023: Big trends redefining the investment industry

A new self-regulatory organization, increasing complexity in financial planning, and the continued adoption of technology to drive productivity gains were issues of discussion in 2023

British columbiaJulie gallagherKurt rosentreterJason evansAndrew krieglerClark lintonJason pereiraDavid christiansonNational bank financial wealth management in winnipegUpper canada capital incMutual fund dealers association of canadaInvestment industry regulatory organization of canadaRaymond james ltdA private wealth incCanadian investment regulatory organizationManulife securities inc

CIRO Hearing Panel accepts settlement agreement with Mei-Hui Bobb

CIRO Hearing Panel accepts settlement agreement with Mei-Hui Bobb
tmcnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from tmcnet.com Daily Mail and Mail on Sunday newspapers.

British columbiaUnited kingdomMei hui bobbMutual fund dealers association of canadaHearing panelCanadian investment regulatory organizationMutual fund dealerMutual fund dealer ruleInvestment industry regulatory organization of canadaPacific district hearing committeeDealer memberSettlement agreementMutual fund dealer rulesBetween novemberBetween mayInvestment dealer

ON THE MOVE: FINRA Hires Feral Talib; Ted Kaouk to CFTC

ON THE MOVE: FINRA Hires Feral Talib; Ted Kaouk to CFTC
tradersmagazine.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from tradersmagazine.com Daily Mail and Mail on Sunday newspapers.

New yorkUnited statesTed kaoukJohn coughlanTalib ted kaoukPeterj zangariJamese grimesChris lawnJames sticklandStephanie dumontWarren funtTransparency servicesOffice of personnel managementOffice of administrative law judgesParibas groupCaxton associates