MFDA publishes investor bulletin on mutual fund fees
A female advisor misappropriated more than $31,000 from her father, who was a client
New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
Growing resistance to the MFDA’s plan to increase disclosure
Harold Backer induced clients to invest in non-existent mutual funds
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
A mandatory data request to mutual fund dealers will be issued this fall
The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors
International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules