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Company: Mutual Fund Dealers Association

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High angle view of mallet eyeglasses legal book in courtroom

Harold Backer induced clients to invest in non-existent mutual funds

desk with analysis report ,calculator

The Investment Industry of Canada’s resistance to expanded investment fund cost reporting runs counter to the views of the Investment Funds Institute of Canada

Business and financial report with laptop Accounting economic

A mandatory data request to mutual fund dealers will be issued this fall

High angle view of businesspeople over boardroom table collaborating celebrating

The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors

Closeup of mallet being hit on stacked coins at table in courtroom

International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules

business people standing in line under a magnifying glass

CSA says self-regulatory organization meets terms and conditions of its recognition order

Gavel and legal books

The former advisor misappropriated client funds and and and created fictitious account statements

Closeup of mallet being hit on stacked coins at table in courtroom

Mutual fund dealer fined $125,000 for compliance failings

  • By: IE Staff
  • June 22, 2018 June 22, 2018
  • 14:30
MFDA 2018-2022 Strategic Plan

The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors

  • By: IE Staff
  • June 19, 2018 June 19, 2018
  • 16:45
Gavel and legal books

Penalty sends a “clear message” to investment industry members and the public