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Regulator fines, bans representative for failing to cooperate

A Mutual Fund Dealers Association (MFDA) of Canada hearing panel has fined and permanently banned Frank Surette, a forme

INVESTMENT | November 13 2019 02:01PM
MFDA fines, bans rep for failing to cooperate

The Mutual Fund Dealers Association of Canada (MFDA) announced this week that it is fining and permanently banning forme

INVESTMENT | November 06 2019 02:05PM
Three reps sanctioned for using pre-signed account forms and other violations

The Mutual Fund Dealers Association of Canada (MFDA) has settled with representatives in three different cases, after th

INVESTMENT | November 06 2019 01:04PM
MFDA bans, fines former fund rep $150K

The Mutual Fund Dealers Association of Canada (MFDA) has permanently banned former mutual fund salesperson, Blaise Lesli

INVESTMENT | October 29 2019 09:42AM
MFDA publishes investor bulletin on understanding risk

The Mutual Fund Dealers Association (MFDA) marked the start of Investor Education Month by publishing an MFDA Investor B

INVESTMENT | October 03 2019 11:30AM
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Regulator suspends branch manager for using pre-signed forms

A hearing panel of the Mutual Fund Dealers Association has approved a settlement agreement with PFSL Investments branch

INVESTMENT | October 02 2019 02:00PM
Falsifying signatures leads to six month ban: MFDA

The Mutual Fund Dealers Association announced that it has approved a settlement agreement with former Royal Mutual Funds

INVESTMENT | October 02 2019 11:13AM