Company: Mutual Fund Dealers Association

784 results found

MFDA alleged client gave rep access to bank account while travelling

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Trade group calls on provincial finance minister to review fund dealer oversight


Regulators alleged the firm's onboarding process for new reps was deficient


Provincial regulators finalized recognition orders and interim rules


SRO alleged rep took money from a client who was a fellow fund rep


Regulator sets out draft priorities for fiscal 2024

Potential conflicts involving clients' wills weren't reported to dealer

Businessman analysis the stockmarket on labtop Stock Market Investment Online

Timing of bulk trades and poor record keeping results in disciplinary penalties

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Review considers doing away with dedicated directors, alternate input mechanisms


MFDA panel fines, bans rep after finding numerous violations