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Company: Mutual Fund Dealers Association

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Closeup of mallet being hit on stacked coins at table in courtroom

The vulnerable investors were the parents of the rep’s former fiancé

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Twelve reps at a branch in Mississauga, Ont. falsified KYC information in order to obtain investment loans

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Proposals reflect trends toward a principles-based approach to sanctioning

Judge gavel, scales of justice and law books in court

David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”

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

Monetary sanctions levied against both mutual fund dealers and mutual fund advisors totalled $8.5 million in 2017

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA

exchange-traded funds, woman with tablet

Training, due diligence, trading instructions among issues MFDA firms will have to consider

Gavel and legal books

Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs

coin stacks with letter dice - fees

The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting

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The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors