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Keyword: MFDA

183 results found
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
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
Business people working in a conference room

Amendments would increase the size of its governance committee and the term limits for directors

  • By: Staff
  • March 14, 2019 March 14, 2019
  • 16:30
Young business couple meeting with tech devices

More thorough reporting and oversight are suggested

  • By: Staff
  • March 5, 2019 March 5, 2019
  • 13:36
Business Team Meeting Discussion Connection

The committee of senior compliance personnel meets quarterly

  • By: Staff
  • February 26, 2019 February 26, 2019
  • 10:09
Technology security concept. Modern safety digital background. Protection system

The self-regulatory organization has issued a warning bulletin

  • By: Staff
  • February 20, 2019 February 20, 2019
  • 13:05
Lawyer

The former rep took advantage of a widow, the panel found