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Company: Mutual Fund Dealers Association

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The commission ordered sanctions against a former MFDA representative who misappropriated client money

Wood homes under construction

Compliance review uncovered rep's secret sideline

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The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3

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In decision, MFDA panel stresses need for sanctions that deter exploitation of vulnerable investors

Wooden shelves on the wall with golden piggy bank, isolated on white, 3D illustration.

Loss of third-party fund distribution seen as "unintended consequence" in 2018

Fees as a share of industry revenues and profits have continued to decline

old way, new way

The SRO has elected to maintain more prescriptive guidance around KYC reviews

  • By: Katie Keir
  • September 3, 2021 September 3, 2021
  • 11:44
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Consolidated rules and enhanced governance will be part of the changes

People of different backgrounds wearing masks

SRO review finds a variety of reasons for botched return calculations

think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1