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Keyword: Mutual fund dealers

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Perplexed professional male

Edward Jones tops J.D. Power investor satisfaction ranking for sixth consecutive year

  • By: IE Staff
  • August 16, 2018 August 16, 2018
  • 11:44
Business and financial report with laptop Accounting economic

A mandatory data request to mutual fund dealers will be issued this fall

High angle view of businesspeople over boardroom table collaborating celebrating

The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors

Closeup of mallet being hit on stacked coins at table in courtroom

International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules

Closeup of mallet being hit on stacked coins at table in courtroom

Mutual fund dealer fined $125,000 for compliance failings

  • By: IE Staff
  • June 22, 2018 June 22, 2018
  • 14:30
meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

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

RBC logo Royal Bank of Canada sign

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

exchange-traded funds, woman with tablet

Training, due diligence, trading instructions among issues MFDA firms will have to consider

Savings money jar full of coins concept for saving or investment for a house, retirement or education

The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors

Close-up Of Two Businessman Analyzing Graph On Digital Tablet

Mutual fund dealers can expect a mandatory request for data in June