MFDA bans Reginald Roskaft for misappropriating client funds
MFDA permanently bans Dennis Villarin
PAC membership grows to 18
2013 enforcement report shows an increase in investigations, hearings and sanctions
Senior compliance staff from fund dealers invited to serve on policy advisory committee
March is Fraud Prevention Month
Nominees wanted for four regional councils
Program’s goal is the early identification of possible fraud
Regulator plans to examine cost sharing agreements and reps selling syndicated mortgages
Changes intended to further integrate risk-based methodology