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Company: Mutual Fund Dealers Association

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The Investment Industry of Canada’s resistance to expanded investment fund cost reporting runs counter to the views of the Investment Funds Institute of Canada

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A mandatory data request to mutual fund dealers will be issued this fall

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The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors

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International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules

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CSA says self-regulatory organization meets terms and conditions of its recognition order

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The former advisor misappropriated client funds and and and created fictitious account statements

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Mutual fund dealer fined $125,000 for compliance failings

  • By: IE Staff
  • June 22, 2018 June 22, 2018
  • 14:30
MFDA 2018-2022 Strategic Plan

The SRO is placing a high priority on embracing innovation within the investment industry in a manner that meets regulatory requirements and protects investors

  • By: IE Staff
  • June 19, 2018 June 19, 2018
  • 16:45
Gavel and legal books

Penalty sends a “clear message” to investment industry members and the public

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

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