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Keyword: MFDA

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The audience listens to the acting in a conference hall. Seminar, Classroom, Adult.

The proposals deal with accreditation and eligibility periods

Skull on blue digital background. security concepts

The pandemic is proving to be a paradise for cybercriminals

The SROs are urging firms to think about business continuity plans

loudspeaker

The SRO’s regional councils preside over disciplinary hearings

Idea

Kenmar Associates hopes the review won’t just rubber-stamp a merger of the MFDA and IIROC

gavel

Good intentions are no excuse

Indecisive and lost man chooses the right path

A discussion paper calls the current system outdated, complex and product-based

gavel on a wooden bench

Rep took $200,000 from elderly clients and gambled it away, among other violations

Financial graph on technology abstract background

The proposal would pave a way for MFDA reps to sell alt funds

court gavel regulatory

The former head of W.H. Stuart Mutuals Ltd. must pay $1.1 million in restitution