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Keyword: MFDA

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The OSC and the MFDA team up in case against fund rep

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It remains up to regulators to act on long-standing recommendation

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Appointees will join new SRO's disciplinary committees

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The Canadian Securities Administrators have also launched a consultation on the new regulator's interim rules

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Interim rules coming in May, with new CEO, board to be named in Q2

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A panel found the MFDA's suspension was unreasonable and disproportionate for a minor violation

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Majority dismisses appeal, rejects proposed class action

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The CSA is seeking six industry directors and eight independent directors for the board

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The MFDA also issued a permanent ban to the former branch manager in Alberta

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Vancouver dealer's differential compensation favoured socially responsible funds and portfolio funds