Advisors uneasy about MFDA’s public consultation process
Leclair permanently banned for failing to cooperate with investigation
Provincial regulators willing to consider shorter extension
Investors deserve comparable standard of protection whether a is registrant under MFDA or IIROC
A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada has suspended the membership rights and privileges of Farm Mutual Financial Services Inc.The panel handed down the suspension on August 19.In a order issued August 19, the MFDA said that on August 7 Farm Mutual filed an assignment for […]
A hearing panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada today approved a settlement agreement between the MFDA and Evangeline Securities Ltd.The settlement concerns allegations that the Evangeline failed to supervise and prevent trading in accounts where clients were residents in jurisdictions in which the Evangeline and its approved […]
Amendments give the self-regulatory organization greater power in trying wrongdoers and issuing penalties
MFDA contingency fund can not provide coverage in Quebec
Amendment removes references to “another person” and “widely recognized professional association”
Regulator issues reprimand; imposes $5,000 fine