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Company: Mutual Fund Dealers Association

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Couple getting financial retirement advice from consultant at home

The CSA warns the industry against abuses as bans loom for trailers, DSCs

suspicious client

Respondents to a poll favoured enhanced oversight and comprehensive SRO reform

gavel

The former advisor claimed the $16,000 he received from the client was a gift

  • By: IE Staff
  • August 20, 2020 August 20, 2020
  • 16:01
Court.

The inadequate supervision involved suitability, concentration in sector funds

Time management concept. Composition with documents, stationary and alarm clock on table

Ian Russell responds to comments on his opinion piece on SRO consolidation

confused man

SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada

gavel

Fund dealer admits to not fully investigating suspected rep misconduct

Partners discussing new plans

SRO reform can lead to a better outcome for dealers and their clients

Young businessman with a red tie shouting furiously at his mobile phone

The self-regulatory organization calls on fund dealers to participate in policy consultations

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why SROs work well for investors and the industry