Industry

ACCP names 2011 board of directors

The Association of Canadian Compliance Professionals has announced its board of directors for 2011, consisting of: The ACCP represents individuals who have chosen compliance as their career and who are dedicated to improving compliance operations within the mutual fund and exempt market dealer communities. It currently consists of 115 compliance professionals as active members across […]

By Staff |January 10, 2011

1 min read

MFDA makes findings against Sergio Gizzo

A disciplinary hearing in the matter of Sergio Peter Gizzo was held today in Toronto, Ontario before a three-person Hearing Panel of the MFDA’s Central Regional Council. After hearing submissions from Staff of the MFDA, the Hearing Panel found that the following allegation in the Notice of Hearing had been established: Allegation #1: Commencing May […]

By Staff |January 7, 2011

1 min read

Mallard wins a round in fight with regulators

A Saskatchewan court has dismissed an attempt by regulators to derail a lawsuit brought forward by Saskatoon-based advisor Brian Mallard. Mallard is seeking damages from the Mutual Fund Dealers Association and the Saskatchewan Financial Services Commission, alleging unlawful interference with economic interests. Mallard has had a long-running battle with the two regulatory bodies – arguing […]

By Doug Watt |January 7, 2011

2 min read

Manulife Asset Management names new Asian equity head

Manulife Asset Management has appointed Ronald Chan as senior managing director, head of equities, Asia, effective January 3, 2011. Based in Hong Kong, he will report locally to Michael Dommermuth, president and head of Manulife Asset Management (Asia). Chan will manage a team of nine Hong Kong-based equity professionals across the company’s Greater China and […]

By Staff |January 7, 2011

1 min read