Parties agree to co-ordinate regarding Quebec reps
Notice outlines “inappropriate” activities
IPC to begin coverage on July 1
Saskatchewan rep borrowed $250,000 from clients
New authorization forms to be implemented by April 2006
In its first contested hearing, a panel of the Ontario Regional Council of the Mutual Fund Dealers Association today made findings against a former rep, but it has yet to issue reasons or sanctions.The hearing panel found that the three allegations set out by MFDA staff in a Notice of Hearing against Robert Parkinson on […]
Says required reporting is incomplete at some firms
The Ontario Securities Commission is publishing for comment the revised application of the Mutual Fund Dealers Association of Canada for a contingency fund, known as the MFDA Investor Protection Corp.The OSC is publishing the proposed protection fund’s revised application for regulatory approval of the MFDA IPC to serve as a compensation fund. It’s also publishing […]
Reps in Saskatchewan, Ontario to face hearing panel
Regulator no longer accepting paper monthly filings