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Company: Mutual Fund Dealers Association

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Closeup of mallet being hit on stacked coins at table in courtroom

Panel orders fines totalling $865,000

closeup of on table in empty corporate conference room

Two former regulators join board of directors

Closeup of mallet being hit on stacked coins at table in courtroom

The Calgary-based advisor misappropriated money from a vulnerable, unsophisticated investor who was also his sister-in-law

Business paperwork, stats, numbers, graphs on desk with computer and pen

The self-regulatory organization has published a summary of submissions received in response to its discussion paper

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

The program offers mutual fund dealers assessments of their cybersecurity practices and advice on improving their defences

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval

  • November 2, 2018 December 19, 2018
  • 17:15
Gavel and judgement on desk

The revised guidelines adopt a principles-based approach to meting out disciplinary penalties

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Ontario advisor referred clients to invest in syndicated mortgages off book

stock market world economy abstract

MFDA publishes investor bulletin on mutual fund fees

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A female advisor misappropriated more than $31,000 from her father, who was a client