Home Mutual Fund Dealers Association

Company: Mutual Fund Dealers Association

792 results found

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

merger

CIRO takes step toward consolidated dealer rules

New SRO aims to harmonize requirements for fund dealers and investment dealers

Quebec and Canadian Flags`

CIRO to step up fund dealer oversight in Quebec

AMF, provincial government approve delegation of powers to SRO

Wooden blocks with percentage sign and arrow up, financial growth, interest rate increase, inflation concept

With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher

Fees for investment dealers to rise 6.4%, annual report says

Flat Illustration concept customer rating on tablets

CIRO plans industry-wide client research project

SRO to expand former MFDA project to all dealers in 2024

Stacked white books on rules and regulations

CIRO tackling array of high-profile policy challenges

Commission structures, account transfer standards and dual registration are all in the works

Closeup of mallet being hit on stacked coins at table in courtroom

Rep used fake account, loans to steal from client

Former fund rep fined, banned by regulators for misappropriation

SRO asks dealers to upvote its new name and look

New branding would replace existing logos by the end of 2024

magnifying glass

New SRO highlights proprietary product conflicts

A review identified gaps in addressing conflicts associated with proprietary products

gavel

SRO panel laments remote hearing challenges

Panel concluded that rep was participating in proceeding anonymously