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Company: Royal Mutual Funds

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Stack of bills

Actions represented a "serious" conflict of interest, panel says

penalty card

Rep circumvented registration limits to trade wider range of securities

Judge looks at papers

Firm was alerted to $1 million in missed grants by government review

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