Company: Mutual Fund Dealers Association

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The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank


Ex-rep admitted to misappropriating money and undisclosed borrowing from a client

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An oversight examination has uncovered just one "low-priority" issue with market surveillance


The client was repaid, but the funds used to repay the client came from a mysterious source

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The proposals are out for a 60-day comment period

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The offering follows a pilot program with IG Wealth and Sterling Mutuals

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The SRO has warned firms against using delay tactics when a client decides to move on

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The regulator handed out $3.4 million in fines last year, down from $9.3 million in 2019

  • By: IE Staff
  • June 1, 2021 June 8, 2021
  • 15:14

Improper personal financial dealings and a failure to cooperate led to the sanctions

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As ETF assets in the MFDA channel continue to grow, more firms are hopping on board