Company: Mutual Fund Dealers Association

795 results found
Concept of entering 2023 with uncertainty

The Canadian regulatory landscape will be fundamentally altered in 2023

Court.

MFDA alleged client gave rep access to bank account while travelling

Quebec flag billowing in the breeze

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

gavel

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

merger

Provincial regulators finalized recognition orders and interim rules

gavel

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

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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

Modern urban skyscrapers in downtown Chicago from below to the blue summer sky. Sun reflecting in the glass facades of the urban futuristic buildings. Chicago, Illinois, USA

Review considers doing away with dedicated directors, alternate input mechanisms