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Company: Mutual Fund Dealers Association

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SRO review finds a variety of reasons for botched return calculations

think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1

Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

Industry firms have been targeted with campaigns impersonating regulators

client meeting

New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors

compliance

A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation

Three questions to ask to protect yourself and your business

gavel

The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank

gavel

Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

business man using magnifying glass to inspect documents

An oversight examination has uncovered just one "low-priority" issue with market surveillance

gavel

The client was repaid, but the funds used to repay the client came from a mysterious source