Mutual Fund Dealers Association – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 06 Nov 2024 18:18:24 +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 Mutual Fund Dealers Association – Investment Executive https://www.investmentexecutive.com 32 32 Fund rep sanctioned for allowing ‘stealth advising’ https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-sanctioned-for-allowing-stealth-advising/ Wed, 06 Nov 2024 18:18:10 +0000 https://www.investmentexecutive.com/?p=496155 Leverage strategy deployed on the down low resulted in hefty financial losses

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]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

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]]> SRO investigation clashes with legal action https://www.investmentexecutive.com/news/from-the-regulators/sro-investigation-clashes-with-legal-action/ Wed, 16 Oct 2024 13:32:33 +0000 https://www.investmentexecutive.com/?p=494849 Court rejects appeal of finding that firm could be prejudiced by settlement

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]]> Court rejects appeals from fund rep, OSC https://www.investmentexecutive.com/news/from-the-regulators/court-rejects-appeals-from-fund-rep-osc/ Fri, 30 Aug 2024 17:04:37 +0000 https://www.investmentexecutive.com/?p=491914 Both sides appealed rulings involving rep inheriting client's estate

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]]> CIRO proposes personal corporations for reps https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-personal-corporations-for-reps/ Thu, 25 Jan 2024 21:23:02 +0000 https://www.investmentexecutive.com/?p=479285 SRO consults on options for resolving long-standing regulatory disparity

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]]> CIRO drops harmonized sanctions guidance https://www.investmentexecutive.com/news/from-the-regulators/ciro-drops-harmonized-sanctions-guidance/ Thu, 21 Dec 2023 21:57:26 +0000 https://www.investmentexecutive.com/?p=477784 SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies

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]]> Potential class action against fund reps revived https://www.investmentexecutive.com/news/from-the-regulators/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Appeal Court finds alleged fiduciary duty breach can be basis for class action

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]]> Patron saint of investor protection passes away https://www.investmentexecutive.com/news/from-the-regulators/patron-saint-of-investor-protection-passes-away/ Mon, 23 Oct 2023 19:11:50 +0000 https://www.investmentexecutive.com/?p=473832 Groundbreaking securities lawyer, Glorianne Stromberg, dies

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]]> CIRO takes step toward consolidated dealer rules https://www.investmentexecutive.com/news/from-the-regulators/ciro-takes-step-toward-consolidated-dealer-rules/ Fri, 20 Oct 2023 20:32:43 +0000 https://www.investmentexecutive.com/?p=473795 New SRO aims to harmonize requirements for fund dealers and investment dealers

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]]> CIRO to step up fund dealer oversight in Quebec https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:43:17 +0000 https://www.investmentexecutive.com/?p=472776 AMF, provincial government approve delegation of powers to SRO

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