MFDA fines advisors for paperwork infractions

The Mutual Fund Dealers Association of Canada (MFDA) has issued its reasons for decision in two separate cases where adv

INVESTMENT | April 09 2020 03:50PM
MFDA hearing panel says B.C. advisor poses a significant risk to investors

A B.C. financial advisor with CIBC Securities has been permanently prohibited from conducting securities-related busines

INVESTMENT | February 07 2020 11:00AM
MFDA proposes new regulatory model

The Mutual Fund Dealers Association of Canada (MFDA) released a new special report on securities industry self-regulatio

INVESTMENT | February 03 2020 03:26PM
MFDA fines rep $11,500 for using pre-signed forms

A Stratford, Ontario representative with FundEX Investments Inc. has been fined $11,500 and will pay costs of $2,500 aft

INVESTMENT | February 03 2020 01:30PM
Rep earns $20,000 fine for KYC violations and unauthorized trading

The Mutual Fund Dealers Association of Canada (MFDA) announced it has accepted a settlement agreement between MFDA staff

INVESTMENT | February 03 2020 11:10AM
Advisor banned after admitting to falsifying signatures

An Ontario-based financial advisor who admitted to falsifying the signatures of three vulnerable clients and taking almo

INVESTMENT | January 31 2020 11:20AM
MFDA advisor permanently banned

A former mutual fund advisor has been permanently prohibited from securities-related business and told to pay $50,000 in

INVESTMENT | January 30 2020 11:25AM