Home Mutual Fund Dealers Association

Company: Mutual Fund Dealers Association

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MFDA publishes investor bulletin on mutual fund fees

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A female advisor misappropriated more than $31,000 from her father, who was a client

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New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A 2016 compliance exam identified inadequate due diligence with regard to exempt market products

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Growing resistance to the MFDA’s plan to increase disclosure

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

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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

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

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

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