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Company: Mutual Fund Dealers Association

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Law.

The former head of W.H. Stuart Mutuals Ltd. was also ordered to pay restitution

Business lawyer team. Working together of lawyer in the meeting.

New compliance targets have emerged from the SRO's data analysis efforts

businessman race hurdle competition

Mutual fund dealers would like to join the ETF world, but hurdles abound

  • By: Katie Keir
  • January 17, 2020 January 20, 2020
  • 00:10
Court.

Allegations include improper personal financial dealings and misleading investigators

gavel

The former fund rep failed to co-operate in an MFDA investigation into falsified loan applications

Stacked white books on rules and regulations

Amendments include changes to suitability, know-your-client, conflict of interest and disclosure provisions

Talk of merging the SROs has surfaced repeatedly over the years

gavel

The panel said the penalty proposed in the case is "necessary and sufficient" to serve as a deterrent

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

The former rep borrowed more than $100,000 from clients

Stacked white books on rules and regulations

The MFDA's auditors and directors were also approved at the meeting