Keyword: MFDA

240 results found

Dealers should examine their client reports for unusual or incorrect information

Toronto skyline in financial district

The regulators are reviewing submissions to the consultation that closed in October

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An OSC enforcement action against a former rep has extended an existing suspension


The MFDA is working on an "implementation roadmap" for its vision for the future of self-regulation

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The move comes as regulators make it easier for mutual fund reps to deal in alternative funds

  • By: Staff
  • February 1, 2021 February 1, 2021
  • 12:44
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The industry has standardized its LTA practices

  • By: Staff
  • December 29, 2020 December 29, 2020
  • 11:37
Communication network concept. Multiple exposure.

MFDA to continue accepting documents from dealers in electronic format

court gavel regulatory

The permanent ban follows a jail term and restitution order

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The DSC prohibition has led to a decreasing number of advisors licensed with financial advisory firms

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A dealer has reported a fake message impersonating the SRO