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Keyword: MFDA

182 results found
Concept of important choices of a businessman, Business Challenge

CSA will continue to monitor the industry’s approach to OBSI’s recommendations on investor compensation

  • By: Staff
  • August 15, 2019 August 15, 2019
  • 14:04
Businesswomen

President of PMAC says, “We’ve got to keep the standards high”

scales of justice

Former rep also fined $115,000

  • By: Staff
  • July 30, 2019 July 30, 2019
  • 14:43
stock market price abstract

It's the first dealer to offer access to the funds listed on NEO

courtroom gavel

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 June 27, 2019
  • 15:02