Company tag
MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)
255 Articles
Repeat offender thrown out of the industry permanently
April 9, 2024
Firms, associations and reps weigh in on advisor compensation
April 2, 2024
Representative fined $125,000 and banned for accepting power of attorney
March 11, 2024
Representative switching firms fined $20,000 for 47 pre-signed forms
January 15, 2024
Assistant terminated and sanctioned for two years over pre-signed forms
December 13, 2023
Representative convicted for theft from a client banned from the securities business
December 5, 2023
Enforcement year in review unveiled by new regulator
October 26, 2023
Insurance CEOs discuss outlook at recent financial summit
September 27, 2023
