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Company: Mutual Fund Dealers Association

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Ontario advisor referred clients to invest in syndicated mortgages off book

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MFDA publishes investor bulletin on mutual fund fees

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A female advisor misappropriated more than $31,000 from her father, who was a client

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New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

A 2016 compliance exam identified inadequate due diligence with regard to exempt market products

coin stacks with letter dice - fees

Growing resistance to the MFDA’s plan to increase disclosure

High angle view of mallet eyeglasses legal book in courtroom

Harold Backer induced clients to invest in non-existent mutual funds

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The Investment Industry of Canada’s resistance to expanded investment fund cost reporting runs counter to the views of the Investment Funds Institute of Canada

Business and financial report with laptop Accounting economic

A mandatory data request to mutual fund dealers will be issued this fall

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The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors