MFDA

MFDA makes findings against Smith

A disciplinary hearing in the matter of Stephen Arnold Smith was held yesterday in Toronto, Ontario before a three-person Hearing Panel of the MFDA’s Central Regional Council. Prior to hearing MFDA Staff’s submissions on the merits, the Hearing Panel granted a motion by Staff to amend the Notice of Hearing. A copy of the Amended […]

By Staff |February 9, 2011

1 min read

MFDA to hear Laurier Capital Planning settlement

The MFDA today announced that it has issued a notice of settlement hearing regarding the presentation, review and consideration of a proposed settlement agreement by a hearing panel of the MFDA’s Prairie Regional Council. The settlement agreement will be between MFDA staff and Laurier Capital Planning Inc. (the “Respondent”) and involves matters for which the […]

By Staff |January 31, 2011

1 min read

MFDA censure offers critics hope

Opinion continues to stream in on what’s come to be known as Proxygate, as more industry experts air their thoughts on the matter. Public censure may be harsh, but it presents an opportunity for the MFDA, says Sandra Kegie, executive director at the Federation of Mutual Fund Dealers. She believes cooperation could bring good results. […]

By Vikram Barhat |January 14, 2011

2 min read

Update: MFDA reviewing BCSC censure

The Mutual Fund Dealers Association of Canada (MFDA) doesn’t have much to say about a British Columbia Securities Commission (BCSC) decision to censure the not-for-profit self-regulatory organization over how they solicit proxies.

By Vikram Barhat |January 12, 2011

2 min read