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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


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


Karen McGuinness appointed as president and CEO

  • By: IE Staff
  • September 16, 2022 September 16, 2022
  • 15:58
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SRO sought to investigate after compliance review discovered pre-signed forms


Ontario court orders summary judgment in favour of bank

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Enforcement penalties will be used to help fund the new SRO

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


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