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Mutual fund advisors would have to complete 20 professional development credits each cycle

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The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings

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Violations of the rule involve certain incentives programs

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The “majority” of dealers are disclosing DSCs adequately, but some reported DSCs and trailer fees bundled together, new MFDA report finds

Canadian insurance regulators focus on three key priorities

The self-regulatory organization will examine concentrations in high risk investments and suitability for senior investors

BMO GAM’s Ross Kappele elected IFIC chairman

OSC to hear both sides in case of advisor who accepted loan from clients

MFDA bans former rep for recommending unsuitable strategy

The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk

In the event the panel accepts the settlement, it will provide written reasons for its decision

  • By: IE Staff
  • December 20, 2017 December 20, 2017
  • 17:30

The settlement aims to resolve a series of alleged supervisory shortcomings.

BMO GAM’s Ross Kappele elected IFIC chairman

Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients

  • December 1, 2017 December 1, 2017
  • 12:20