MFDA Investor Protection Corp. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Nov 2021 17:14:06 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png MFDA Investor Protection Corp. – Investment Executive https://www.investmentexecutive.com 32 32 New SRO by end of 2022, CSA pledges https://www.investmentexecutive.com/news/from-the-regulators/new-sro-by-end-of-2022-csa-pledges/ Thu, 18 Nov 2021 17:14:06 +0000 https://www.investmentexecutive.com/?p=434171 Regulators aim to name CEO, board by Q2 next year

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]]> Plan for new SRO gets positive reviews from advocates, industry https://www.investmentexecutive.com/news/from-the-regulators/plan-for-new-sro-gets-positive-reviews-from-advocates-industry/ Wed, 04 Aug 2021 19:47:28 +0000 https://www.investmentexecutive.com/?p=426355 The CSA's plan received broad support, but there's plenty of work to do on the details

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]]> If the regulator or SRO comes knocking, answer the door https://www.investmentexecutive.com/inside-track_/ellen-bessner/if-the-regulator-or-sro-comes-knocking-answer-the-door/ Fri, 17 May 2019 20:00:50 +0000 https://www.investmentexecutive.com/?p=381738 Not responding will result in a much harsher penalty

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]]> OSC updating oversight of investor protection funds https://www.investmentexecutive.com/news/from-the-regulators/osc-updating-oversight-of-investor-protection-funds/ Thu, 25 Apr 2019 16:50:55 +0000 https://www.investmentexecutive.com/?p=380643 Proposed changes include a requirement to report information security breaches

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]]> MFDA IPC pays out $7 million in WHS claims https://www.investmentexecutive.com/news/from-the-regulators/mfda-ipc-pays-out-7-million-in-whs-claims/ Tue, 03 Nov 2015 15:55:00 +0000 https://www.investmentexecutive.com/uncategorized/mfda-ipc-pays-out-7-million-in-whs-claims/ The contingency fund for the Canadian mutual fund dealer industry is aiming to boost its reserves to $50 million over the next several years

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]]> Fund dealers facing $8M assessment: report https://www.investmentexecutive.com/news/from-the-regulators/fund-dealers-facing-8m-assessment-report/ Wed, 22 Oct 2014 20:30:00 +0000 https://www.investmentexecutive.com/uncategorized/fund-dealers-facing-8m-assessment-report/ Dealers to fund MFDA IPC payouts to clients of insolvent W.H. Stuart

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]]> MFDA IPC announces new president https://www.investmentexecutive.com/news/people/mfda-ipc-announces-new-president/ Tue, 10 Jun 2014 19:45:00 +0000 https://www.investmentexecutive.com/uncategorized/mfda-ipc-announces-new-president/ Dorothy Sanford succeeds Joni Alexander

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]]> W.H. Stuart claims near $8 million mark https://www.investmentexecutive.com/news/from-the-regulators/w-h-stuart-claims-near-8-million-mark/ Fri, 25 Oct 2013 20:50:00 +0000 https://www.investmentexecutive.com/uncategorized/w-h-stuart-claims-near-8-million-mark/ It’s not yet clear how much the MFDA’s Investor Protection Corp. may have to pay out

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]]> MFDA contingency fund secures $20 million in coverage https://www.investmentexecutive.com/news/industry-news/mfda-contingency-fund-secures-20-million-in-coverage/ Fri, 27 Jul 2012 19:15:00 +0000 https://www.investmentexecutive.com/uncategorized/mfda-contingency-fund-secures-20-million-in-coverage/ In the event of a large loss, the MFDA Investor Protection Corp. would cover the first $30 million, and insurance another $20 million

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]]> MDFA to boost size of contingency fund https://www.investmentexecutive.com/news/from-the-regulators/mdfa-to-boost-size-of-contingency-fund/ Tue, 26 Oct 2010 19:12:00 +0000 https://www.investmentexecutive.com/uncategorized/mdfa-to-boost-size-of-contingency-fund/ Increase to be phased in over seven years

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