Company: Mutual Fund Dealers Association

743 results found
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Panel handed down tougher sanctions than SRO sought

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Majority dismisses appeal, rejects proposed class action

gavel

The representative also misled the dealer during an investigation

Business People Meeting Discussion in a boardroom concept

The CSA is seeking six industry directors and eight independent directors for the board

Gavel and legal books

Regulator makes changes in light of new SRO and forthcoming regulations

panorama with green house and windmill on white background

Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds

client meeting

Proposal would replace the requirements under provincial regulators' existing rules

gavel

Incentive structure favoured in-house funds over third-party funds, regulator found

REGULATION CONCEPT

Regulators aim to name CEO, board by Q2 next year

Paper family of four under a paper cutout insurance umbrella

The SRO is supporting Osgoode's investor service for two years