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Keyword: MFDA

179 results found
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

Gavel

The SRO alleges the rep solicited almost $200,000 in client investments in a coffee business

Competitive Edge

Regulator uncovers pattern of uniform know-your-client information

  • By: Staff
  • February 7, 2019 February 7, 2019
  • 14:11
Lawyer

Syndicated mortgages resulted in referral fees of more than $12K

  • By: Staff
  • January 31, 2019 January 31, 2019
  • 12:43
Lawyer

The case offers a cautionary tale for book sales

  • By: Staff
  • November 27, 2018 November 28, 2018
  • 14:29