Home Mutual fund dealers

Keyword: Mutual fund dealers

86 results found
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 December 19, 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

  • By: Leah Golob
  • April 25, 2018 January 11, 2019
  • 14:17
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

The mutual fund dealer will give more than 150 advisors access to the online digital wealth-management platform

  • By: Leah Golob
  • April 10, 2018 December 25, 2018
  • 14:11
People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

Trades executed through ETFBahn will now flow through Credit Suisse, which will provide record keeping execution and custody services

High angle view of mallet eyeglasses legal book in courtroom

The would-be rep falsely reported that she was sentenced to community service when she was actually ordered to serve time in jail