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Keyword: Mutual fund dealers

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Proposal would allow fund dealers to engage in a limited form of discretionary trading

A review of dealers' policies on promotional incentives reveals gaps and shortcomings

closeup of on table in empty corporate conference room

The organization is accepting applications until March 22

businessman showing where to sign agreement law contract pen

Compliance exams uncover an inappropriate one-size-fits-all approach

Wealthsimple Advice offers passive or active portfolios of ETFs and mutual funds

Business People Meeting Discussion in a boardroom concept

Matthew Latimer succeeds Sandra Kegie at the Federation of Mutual Fund Dealers

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones

HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval

  • November 2, 2018 April 16, 2019
  • 17:15
desk with analysis report ,calculator

Fiera will continue to manage its Canadian closed-end funds and alternative strategies

Business and financial report with laptop Accounting economic

Mutual fund dealers and their advisors will gain access to more efficient, automated investment processes

Chart: Number of dealer firms is declining

The pressure on firms to evolve, invest in new technologies and keep up with ever-increasing compliance costs were the key drivers of this trend