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Company: Mutual Fund Dealers Association

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Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

Why SROs work well for investors and the industry

compliance solutions rubber stamp

Guidance aims to allow more tailored setups for compliance officers

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

Firm has compensated clients, enhanced compliance

Female tax inspector looking at corporate financial documents with magnifying glass

Examination of the self-regulatory framework runs until Oct. 23

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

CSA consultation will focus on self-regulation, not necessarily consolidation


SRO hearing panel ruled the former rep "completely untrustworthy"

Close-up Of Businesswoman Stopping The Effect Of Domino With Hand

Fund industry SRO shoots down consolidation, reiterates call for overhaul

handshaking and exchanging contract documents

New paper promises huge payoff from SRO consolidation

Retro image of male hand of a designer drawing with the stylus on a grey graphics tablet, close-up.

MFDA issues revised guidance on the use of electronic signatures

compliance puzzle

Regulators will use feedback to develop guidance