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Securities commission refuses to vacate MFDA decision

The Nova Scotia Securities Commission has dismissed an application made to vacate a Mutual Fund Dealers Association of C

INVESTMENT | June 12 2020 12:32PM
IIROC proposes SRO consolidation, MFDA rebuffs the idea

The Investment Industry Regulatory Organization of Canada (IIROC) released a proposal June 9, which proposes to bring II

INVESTMENT | June 10 2020 03:33PM
Former rep fined for falsifying client signatures

A hearing panel of the Mutual Fund Dealers Association of Canada (MFDA) has accepted a settlement agreement between MFDA

INVESTMENT | June 05 2020 12:30PM
MFDA places permanent ban on advisor

A hearing panel of the Mutual Fund Dealers Association of Canada (MFDA) has placed a permanent prohibition on conducting

INVESTMENT | June 03 2020 01:30PM
Agency, former nominee fined for failing to disclose MFDA sanctions

The Insurance Council of British Columbia has issued an order, fining Sentinel Financial Management Corp., and former no

LIFE INSURANCE | May 29 2020 11:42AM
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MFDA imposes nearly $9.3-million in total fines in 2019

The Mutual Fund Dealers Association of Canada (MFDA) published its 2019 Annual Enforcement Report on May 12. Top prim

INVESTMENT | May 13 2020 03:18PM
MFDA bans and fines former rep $75k

The Mutual Fund Dealers Association of Canada (MFDA) announced May 7 that it is fining former Sun Life Financial Investm

INVESTMENT | May 11 2020 09:33AM