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Company: Mutual Fund Dealers Association

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Groundbreaking securities lawyer, Glorianne Stromberg, dies


New SRO aims to harmonize requirements for fund dealers and investment dealers

Quebec and Canadian Flags`

AMF, provincial government approve delegation of powers to SRO

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

Fees for investment dealers to rise 6.4%, annual report says

Flat Illustration concept customer rating on tablets

SRO to expand former MFDA project to all dealers in 2024

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