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Company: Royal Mutual Funds

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A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Settlement hearing with Royal Mutual Funds scheduled for Oct. 15

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

Judge's gavel with magnifying glass on black.

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

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

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

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

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