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Company: Mutual Fund Dealers Association

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tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO commenced a record 136 disciplinary proceedings last year

Judge gavel, scales of justice and law books in court

The MFDA permanently banned the dealer in 2016

Judge gavel, scales of justice and law books in court

Rep’s refusal to cooperate with investigation was deemed an aggravating factor

  • By: IE Staff
  • April 15, 2019 May 20, 2019
  • 09:44
tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO issued a report Wednesday analyzing data from its client research project

Flat Illustration concept customer rating on tablets

Ratings up across the board for the fund dealer regulator

Proposal would allow fund dealers to engage in a limited form of discretionary trading

A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI

closeup of on table in empty corporate conference room

The organization is accepting applications until March 22

Phishing via internet isometric vector concept illustration Hacking credit card information website Cyber banking attack Online security

Suspicious email are not legitimate, the MFDA warns, and dealers should not open the attachments or click on any links

High angle view of mallet eyeglasses legal book in courtroom

"The respondent took advantage of her. The facts are shocking," an MFDA panel said