MFDA sanctions against Ed Rempel relate to a complaint over leveraged investing
Promissory notes sold off-book, panel finds
MFDA calls for an end to falsified signatures
Karen McGuinness, sr. vice president, member regulation – compliance, Mutual Fund Dealers Association of Canada, discusses three initiatives of interest to advisors: CE requirements; proficiency standards for the title “financial planner”; and the Seniors Summit.
The SRO has proposed rule changes for fund dealer reps who want to be planners
Shortcomings were noted in several areas, including suitability, awareness of advisor credentials and fee disclosure
Fund dealers face a number of decisions
Guidance spells out how integrated dealers should report their compensation to clients
Conference for mutual fund dealer supervisors will focus on serving senior investors