Saskatchewan urged to drop proposed competency rules for advisors

Submission suggests that a non-harmonized approach to title regulation should be reconsidered.

INVESTMENT | September 21 2022 10:23AM
Mutual Fund Dealers Association of Canada appoints new President & CEO

She will take the place of Mark Gordon who will continue with the organization in a new role.

INVESTMENT | September 20 2022 10:35AM
Failing to cooperate with regulator results in ban and $40,000 fine

Dealing representative being investigated for copying client signatures.

INVESTMENT | September 07 2022 10:40AM
Rep suspended after 134 altered forms discovered

He was suspended for 30 days and ordered to pay a fine in the amount of $20,000.

INVESTMENT | September 06 2022 09:36AM
Advisor fined $525,000

A hearing panel found she made five major contraventions to MFDA rules involving clients.

INVESTMENT | August 25 2022 09:55AM
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Mutual Fund Dealer member involved in outside sale of $700,000 in investments

Seven investors lose more than $700,000 .

INVESTMENT | August 19 2022 10:45AM
The Mutual Fund Dealers Association of Canada accepts agreement with advisor

Advisor pays $15,000 in fines.

INVESTMENT | August 12 2022 01:36PM