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Company: Mutual Fund Dealers Association

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Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger

announcement

From leadership restructuring to the creation of a new role, it's a busy start to the fall

  • By: Katie Keir
  • September 22, 2022 September 22, 2022
  • 15:07
Compliance Rules Law Regulation Policy Business Technology concept.

Fees, expenses surging ahead of IIROC-MFDA amalgamation

announcement

Karen McGuinness appointed as president and CEO

  • By: IE Staff
  • September 16, 2022 September 16, 2022
  • 15:58
Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

SRO sought to investigate after compliance review discovered pre-signed forms

Court.

Ontario court orders summary judgment in favour of bank

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Enforcement penalties will be used to help fund the new SRO

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

Rep fined after switching a nonagenarian's account into a DSC fund

Court.

SRO levies $60,000 fine and orders $10,000 in costs

Extreme closeup of an annual report -- based on the "portfolio facts," the fund is a 100% stock mutual fund

The four victims included insurance clients and were the advisor's family members

  • By: IE Staff
  • July 21, 2022 July 21, 2022
  • 15:49