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
New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight
Edward Jones tops J.D. Power investor satisfaction ranking for sixth consecutive year
A mandatory data request to mutual fund dealers will be issued this fall
The self-regulatory organization seeks to increase engagement with mutual fund dealers and investors
International Capital Management, John Sanchez and Javier Sanchez admitted to several violations of MFDA rules
Mutual fund dealer fined $125,000 for compliance failings