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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

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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

REGULATION CONCEPT

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”