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Company: Mutual Fund Dealers Association

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High angle view of mallet eyeglasses legal book in courtroom

The firm will pay a $250,000 fine and $50,000 in costs

Miniature of business men observing maze risk concept

Regulators stop short of going ahead with OBSI recommendations

last will and testament waiting to be filled and signed

IIROC and MFDA advisors could lose their licence if they act as an executor and/or beneficiary

Close up of an executive hands holding a pen and indicating where to sign a contract at office

“We’ve got to keep the standards high,” says PMAC president

gavel

The MFDA banned a different rep for the same offence last week

  • By: IE Staff
  • July 30, 2019 September 19, 2019
  • 14:38
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Man used falsified documents to apply for a personal line of credit

  • By: IE Staff
  • July 25, 2019 September 19, 2019
  • 11:45
Gavel and legal books

Settlement agreement also includes a $40,000 fine, $5,000 in costs

  • By: IE Staff
  • July 24, 2019 September 19, 2019
  • 12:18
Contnuing education concept: pixelated words continuing education on digital background, 3d render

Regulator may allow member firms to accredit CE activity of their own reps

gavel justice enforcement

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

gavel enforcement regulators

The fine is $1.6 million