IFIC and PMAC have both published comments regarding the CSA’s review of the regulatory framework governing the industry
The MFDA published its decision and reasons for permanently banning a former advisor and fining her $850,000 plus costs
A Toronto area MFDA advisor has been permanently banned.
A regulator has permanently banned a former branch manager for misappropriating funds from two of her mutual fund client
A regulator has fined and permanently banned a former mutual fund advisor after he borrowed $16,000 from a client.
The MFDA has fined and suspended a former dealing representative after he began selling syndicated mortgage investments
Most Canadians prefer oversight and protection to a simple SRO merger, according to an MFDA poll.