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Company: Mutual Fund Dealers Association

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gavel justice enforcement

"Special investment opportunity" allegedly misappropriated $1.36 million from clients

gavel enforcement regulators

The fine is $1.6 million

Silhouttes of Two Business People Having a Handshake

The deal is valued at approximately US$300 million

  • By: IE Staff
  • May 21, 2019 July 10, 2019
  • 11:02
tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO commenced a record 136 disciplinary proceedings last year

Judge gavel, scales of justice and law books in court

The MFDA permanently banned the dealer in 2016

Judge gavel, scales of justice and law books in court

Rep’s refusal to cooperate with investigation was deemed an aggravating factor

  • By: IE Staff
  • April 15, 2019 June 20, 2019
  • 09:44
tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO issued a report Wednesday analyzing data from its client research project

Flat Illustration concept customer rating on tablets

Ratings up across the board for the fund dealer regulator

Proposal would allow fund dealers to engage in a limited form of discretionary trading

A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI