Proposal would allow fund dealers to engage in a limited form of discretionary trading
A review of dealers' policies on promotional incentives reveals gaps and shortcomings
The organization is accepting applications until March 22
Compliance exams uncover an inappropriate one-size-fits-all approach
Wealthsimple Advice offers passive or active portfolios of ETFs and mutual funds
Matthew Latimer succeeds Sandra Kegie at the Federation of Mutual Fund Dealers
HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval
Fiera will continue to manage its Canadian closed-end funds and alternative strategies
Mutual fund dealers and their advisors will gain access to more efficient, automated investment processes
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