MFDA hearing panel finds Thunder Bay man misappropriated money for spouse’s TFSA
Training, due diligence, trading instructions among issues MFDA firms will have to consider
Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs
The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting
The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors
Mutual fund dealers can expect a mandatory request for data in June
The proficiency course follows requirements set out by the MFDA
Mutual fund dealers and reps use should use more secure forms of electronic communication
Mutual fund advisors would have to complete 20 professional development credits each cycle
The councils provide industry personnel to preside over the self-regulatory organization’s disciplinary hearings