Jones failed to repay loan from client, and refused to co-operate with MFDA investigation
By-law changes passed during October 2009 special meeting must be set aside
Sampson admits misappropriation of client funds
Saskatchewan fund salesman alleges illegal interference with his business
Smiechowski sanctioned for personal financial dealings with a client
Burner failed to reimburse clients for DSCs on fund trades
Notice sets out requirements for salespeople, compliance officers and branch managers
The Mutual Fund Dealers Association of Canada is pushing ahead with proposed rule changes to improve the disclosure of transaction costs for clients despite some objections from members of the financial services industry.The MFDA had published a proposed new rule for comment this past summer. That rule would require mutual fund dealers to tell clients […]
Deadlines set for firms to meet new requirements
Vilfort misappropriated funds, failed to return client information: MFDA panel