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Company: Mutual Fund Dealers Association

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Improper personal financial dealings and a failure to cooperate led to the sanctions

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As ETF assets in the MFDA channel continue to grow, more firms are hopping on board

A new MFDA paper aims to take the mystery out of client vulnerability

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The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money

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Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks

suspicious client

Conflicts-related CFRs were discussed by Agora at the FMFD conference

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The CSA will finalize rules designed to protect vulnerable clients by early summer

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Panel sanctions rep for misappropriating client money and fabricating an account statement

The association delivered its proposed roadmap to inform a CSA decision due this summer

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Fund dealers were advised to examine their client reports for unusual or incorrect information