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Keyword: Mutual fund dealers

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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 February 15, 2019
  • 17:15
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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

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New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight

Perplexed professional male

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

  • By: IE Staff
  • August 16, 2018 February 14, 2019
  • 11:44
Business and financial report with laptop Accounting economic

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