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Company: Mutual Fund Dealers Association

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Partners discussing new plans

Fund dealers focus on middle-class investors

The average client has $75,000 in assets and is saving for retirement, an MFDA report says

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

MFDA panel fines, bans rep for syndicated mortgage misconduct

Former rep hit with $850,000 fine for breaching a variety of SRO rules

With conduct rules looming, industry has work to do

CSA, SROs provide guidance on client-focused reforms requirements

Trailer ban comes with industry rebuke

The CSA warns the industry against abuses as bans loom for trailers, DSCs

Investors would welcome toothier watchdogs

Respondents to a poll favoured enhanced oversight and comprehensive SRO reform

MFDA permanently bans rep who borrowed from client

The former advisor claimed the $16,000 he received from the client was a gift

  • By: IE Staff
  • August 20, 2020 August 20, 2020
  • 16:01

MFDA fines firm $100K for supervisory failures

The inadequate supervision involved suitability, concentration in sector funds

Letter: Time to act on structural reform

Ian Russell responds to comments on his opinion piece on SRO consolidation

confused man

Letter: What’s the rush to merge IIROC and MFDA?

SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada

PEAK settles with MFDA

Fund dealer admits to not fully investigating suspected rep misconduct