Sign in
FREE Membership Sign in
MENU

Calgary firm ordered to pay $100K fine

By The IJ Staff | August 18 2020 03:00PM
Flash | MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) | Disciplinary Decisions 
The MFDA has fined a Calgary firm $100,000 plus costs totaling $10,000. The company admitted that it did not maintain adequate supervisory policies and procedures regarding trade suitability.

This article is reserved to PRO Level subscribers

PRO Level’s multiple privileges

For only $9.95/month

  • Checkmark Access to Flash news including: scoops, people on the move, disciplinary decisions, magazine supplements, exclusive reports and financial tables.
  • Checkmark Insurance Journal and its original content in paper and digital versions.
  • Checkmark Substantial discounts on all of our other products and services, including our annual events.
  • Checkmark PRO Level access on Portail-assurance.ca which offers you the same privileges as mentioned above, but in French for the Quebec market.
Advertisement
The most popular in Investment
Alterna-Member Savings merger now official
Bernard Letendre takes on global responsibilities at Manulife
Mackenzie launches new fund
Headlines
The Co-operators to roll out virtual healthcare services
Fidelity launches new funds
RBC Insurance adds par whole life product to lineup
Advertisement
Related topics …
Flash
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
Disciplinary Decisions