Association cites “real risk” of fund dealers going bankrupt
Deadline for applications is July 9
Nerdahl facilitated loans for 17 clients without approval
Regulator to go ahead without the participation of Partners in Planning
MFDA disciplines Johns for inappropriate referral arrangements
Councils appoint chairs, vice chairs
MFDA urges dealers to develop policies and procedures
Multiple violations earn Ruemper a permanent ban
Levy banned for violating MFDA rules
A hearing panel of the Central Regional Council of the Mutual Fund Dealears Association of Canada has terminated the membership of fund dealer ASL Direct Inc.In addition, the panel permanently stayed proceedings against ASL Direct Inc. and the firm’s owner Adrian Samuel Leemhuis. Earlier this month, the MFDA fined Leemhuis $50,000 for a slew of […]