Keyword: MFDA

297 results found
Jigsaw Puzzle on Blue background

Provincial regulators finalized recognition orders and interim rules


SRO alleged rep took money from a client who was a fellow fund rep

Will document

Potential conflicts involving clients' wills weren't reported to dealer

Businessman Working Finance Trading Stock Concept

Timing of bulk trades and poor record keeping results in disciplinary penalties

gavel on a wooden bench

MFDA panel fines, bans rep after finding numerous violations

Business man making a presentation at office. Business executive delivering a presentation to his colleagues during meeting or in-house business training, explaining business plans to his employees.

MFDA, IIROC seek members for investor panel, deadline Nov. 7

Important Business Meeting stock illustration

The new organization is looking at joint oversight that rotates among CSA jurisdictions

Cut purple ribbon

Fund dealers, investment dealers approve merger, with new SRO to launch in 2023

Online vote

Breaking down the issues as IIROC and MFDA firms prepare to have their say on the proposed merger

Lawyer writing in legal book

Fees, expenses surging ahead of IIROC-MFDA amalgamation