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Company: Mutual Fund Dealers Association

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Outside and private dealings lead to $150,000 fine

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SRO recommends asking clients for a trusted contact person, putting temporary holds on suspicious transactions

Compliance Rules Law Regulation Policy Business Technology concept.

A new paper argues that prospects for reform at the provincial level shouldn't prevent IIROC and MFDA from merging


The former rep has been permanently banned and ordered to pay more than $1.6 million

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The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients

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SRO wants to ensure fund reps' skills and industry knowledge remain up to date

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The heads of the MFDA and IIROC squared off on the future of SROs

  • By: Katie Keir
  • September 26, 2019 October 17, 2019
  • 15:49
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Clients were advised to concentrate their holdings in precious metals sector funds


Areas where future regulatory policy is expected include cybersecurity and protecting seniors

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The self-regulatory organization says its proposal is being “purposely misinterpreted”