Keyword: Mutual fund dealers

100 results found
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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
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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 November 13, 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

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

  • By: Leah Golob
  • April 25, 2018 November 13, 2019
  • 14:17
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The rule aims to promote client awareness of the MFDA’s oversight of mutual fund dealers and advisors