Keyword: Mutual fund dealers

92 results found
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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

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

  • By: IE Staff
  • August 16, 2018 October 17, 2019
  • 11:44
Business and financial report with laptop Accounting economic

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

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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 October 7, 2019
  • 14:30
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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