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Company: Royal Mutual Funds

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MFDA alleged over $300,000 was taken through early GIC redemptions, withdrawals

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The commission ordered sanctions against a former MFDA representative who misappropriated client money


B.C. court dismisses appeal in "enhanced compensation" case

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The SRO argues a hearing panel erred by failing to impose a fine against a rep who misappropriated a client's money


Case claimed extra compensation for selling in-house funds harmed investors

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Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds

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The regulator alleges the fund dealer violated the mutual fund sales practices rule by paying reps higher commissions to sell its proprietary funds

Bank expands branch-based investing opportunities

  • By: IE Staff
  • April 10, 2006 April 10, 2006
  • 08:50

Changes to Select portfolios put off until September

  • By: IE Staff
  • August 7, 2002 August 7, 2002
  • 16:15