Mutual Fund Dealers Association – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Jan 2024 21:23:02 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mutual Fund Dealers Association – Investment Executive https://www.investmentexecutive.com 32 32 CIRO proposes personal corporations for reps https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-personal-corporations-for-reps/ Thu, 25 Jan 2024 21:23:02 +0000 https://www.investmentexecutive.com/?p=479285 SRO consults on options for resolving long-standing regulatory disparity

The post CIRO proposes personal corporations for reps appeared first on Investment Executive.

]]> CIRO drops harmonized sanctions guidance https://www.investmentexecutive.com/news/from-the-regulators/ciro-drops-harmonized-sanctions-guidance/ Thu, 21 Dec 2023 21:57:26 +0000 https://www.investmentexecutive.com/?p=477784 SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

The post CIRO drops harmonized sanctions guidance appeared first on Investment Executive.

]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Appeal Court finds alleged fiduciary duty breach can be basis for class action

The post Potential class action against fund reps revived appeared first on Investment Executive.

]]> Patron saint of investor protection passes away https://www.investmentexecutive.com/news/from-the-regulators/patron-saint-of-investor-protection-passes-away/ Mon, 23 Oct 2023 19:11:50 +0000 https://www.investmentexecutive.com/?p=473832 Groundbreaking securities lawyer, Glorianne Stromberg, dies

The post Patron saint of investor protection passes away appeared first on Investment Executive.

]]> CIRO takes step toward consolidated dealer rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-takes-step-toward-consolidated-dealer-rules/ Fri, 20 Oct 2023 20:32:43 +0000 https://www.investmentexecutive.com/?p=473795 New SRO aims to harmonize requirements for fund dealers and investment dealers

The post CIRO takes step toward consolidated dealer rules appeared first on Investment Executive.

]]> CIRO to step up fund dealer oversight in Quebec https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:43:17 +0000 https://www.investmentexecutive.com/?p=472776 AMF, provincial government approve delegation of powers to SRO

The post CIRO to step up fund dealer oversight in Quebec appeared first on Investment Executive.

]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://www.investmentexecutive.com/news/from-the-regulators/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:12 +0000 https://www.investmentexecutive.com/?p=472211 Fees for investment dealers to rise 6.4%, annual report says

The post With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher appeared first on Investment Executive.

]]> CIRO plans industry-wide client research project https://www.investmentexecutive.com/news/from-the-regulators/ciro-plans-industry-wide-client-research-project/ Fri, 04 Aug 2023 18:49:10 +0000 https://www.investmentexecutive.com/?p=469758 SRO to expand former MFDA project to all dealers in 2024

The post CIRO plans industry-wide client research project appeared first on Investment Executive.

]]> CIRO tackling array of high-profile policy challenges https://www.investmentexecutive.com/news/from-the-regulators/ciro-tackling-array-of-high-profile-policy-challenges/ Tue, 30 May 2023 17:56:54 +0000 https://www.investmentexecutive.com/?p=466447 Commission structures, account transfer standards and dual registration are all in the works

The post CIRO tackling array of high-profile policy challenges appeared first on Investment Executive.

]]> Rep used fake account, loans to steal from client https://www.investmentexecutive.com/news/from-the-regulators/rep-used-fake-account-loans-to-steal-from-client/ Fri, 12 May 2023 20:45:49 +0000 https://www.investmentexecutive.com/?p=465569 Former fund rep fined, banned by regulators for misappropriation

The post Rep used fake account, loans to steal from client appeared first on Investment Executive.

]]>