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Company: Mutual Fund Dealers Association

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SRO consults on options for resolving long-standing regulatory disparity

Air raid sirens

SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies


Appeal Court finds alleged fiduciary duty breach can be basis for class action

Groundbreaking securities lawyer, Glorianne Stromberg, dies


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

Quebec and Canadian Flags`

AMF, provincial government approve delegation of powers to SRO

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

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

Flat Illustration concept customer rating on tablets

SRO to expand former MFDA project to all dealers in 2024

Stacked white books on rules and regulations

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

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Former fund rep fined, banned by regulators for misappropriation