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Company: Mutual Fund Dealers Association

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Stacked white books on rules and regulations

Commission structures, account transfer standards and dual registration are all in the works

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

Former fund rep fined, banned by regulators for misappropriation

New branding would replace existing logos by the end of 2024

magnifying glass

A review identified gaps in addressing conflicts associated with proprietary products


Panel concluded that rep was participating in proceeding anonymously

Gavel and Money - Canada stock photo

Rep fined, banned after borrowing from clients, misleading dealer

Business lawyer team. Working together of lawyer in the meeting.

The case can either proceed to a contested hearing or the two sides may seek a new deal


Tribunal finds that rep's interest in client's estate didn't result from a breach of securities law

Business lawyer team. Working together of lawyer in the meeting.

B.C. court strikes certain claims in rep's wrongful dismissal suit

On the Table Laptop Showing Statistics: Team of Politicians, Corporate Business Leaders and Lawyers Sitting at the Negotiations Table in the Conference Room, Trying to Come to an Agreement. stock photo

Dorothy Sanford, former head of MFDA IPC, heads new investor group