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Keyword: MFDA

178 results found

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules

  • By: Staff
  • May 17, 2019 May 17, 2019
  • 13:17
Lawyer

Unsuitable recommendations for seniors highlighted in enforcement decision

  • By: Staff
  • May 9, 2019 May 13, 2019
  • 13:55
Lawyer

The SRO commenced 136 proceedings in 2018, up from 121 in 2017

  • By: Staff
  • May 1, 2019 May 1, 2019
  • 12:18
Gavel

Failure to cooperate with the investigation was an aggravating factor

  • By: Staff
  • April 15, 2019 April 15, 2019
  • 09:59
Executives are discussing the financial results of the Company for the marketing plan.

The SRO has released an analysis of its client research project

  • April 10, 2019 May 27, 2019
  • 15:43
close up, business man or lawyer accountant working on accounts using a calculator and writing on documents

MFDA says changes would enable dealers to respond to underperforming funds in a timely manner

  • By: Staff
  • April 4, 2019 April 4, 2019
  • 15:02
Lawyer

The self-regulatory organization also issued a lifetime ban

  • By: Staff
  • March 29, 2019 March 29, 2019
  • 11:28

The proposal would better align MFDA provisions with those of OBSI

  • By: Staff
  • March 28, 2019 March 28, 2019
  • 17:31
Gavel

Proposed changes would allow MFDA investigators to enter a dealer's offices without notice and copy electronic records

  • By: Staff
  • March 21, 2019 March 21, 2019
  • 12:13
Computer keyboard and the shadow of a hand. Theft of data.

Latest phishing scam involves emails purported to be from the MFDA CEO

  • By: Staff
  • March 18, 2019 March 18, 2019
  • 17:37