Larson handed permanent ban
Business dealings not disclosed to fund dealer
MFDA board approves governance report
Regulator aims to improve the pre-consultation process for major rule initiatives
Member confusion has led the MFDA to rescind some amendments to rules concerning businesses names and borrowing for securities purchases
The Mutual Fund Dealers Association of Canada has issued a report on governance issues for comment.Earlier this year the MFDA published a bulletin concerning the work of its task force on governance issues, and it received 14 submissions in response. It has also held seven meeting to discuss these issues and the comments that were […]
IPC currently not covered
MFDA proposed amendment would permit remuneration to be directed to unregistered corporations, provided that certain conditions are met
Not all dealers meet the definition of a publicly accountable enterprise
Hearing scheduled for June 5