Mutual Fund Dealers Association

New SRO an opportunity to fix inequity in directed commissions, industry says

Firms voice concerns against imbalance between mutual fund advisors with corporations and IIROC counterparts

Andrew Kriegler to lead new SRO

CSA and existing SROs announce IIROC head's transition and creation of new SRO Advisory Committee

MFDA finds ex-fund rep stole thousands from senior client's account

Former fund representative made unauthorized withdrawals from RRIF and chequing account, covered up actions with fabricated letter

NEO lifts the lid on free Canadian ETF proficiency course

New online, self-paced course is in keeping with ethos and philosophy of education, says chief revenue officer

Why Canadian dealer firms have to step up on liquid-alts training

After progress on proficiency and KYP, industry must maintain positive momentum

IIROC is heading towards SRO but there’s lots to do before then

The investment industry regulator has set out its priorities for the year through to March 2023

Dealing rep faces lifetime ban for not reporting ex-branch manager's borrowings

MFDA finds mutual fund rep neglected to report concerning evidence of financial difficulties

Regulators propose enhanced transparency for fund fees

Harmonization applies to investment and seg funds, and will provide investors with increased cost visibility

Ex-dealing rep’s faulty advice leads to tax liability for senior spouses

MFDA settlement agreement says client threatened to sue after learning about six-figure fund investment's tax implications

Separate liquid-alts bridge course is best way forward, insist providers

CSI and IFSE spokespersons say bundling liquid-alts proficiency into basic mutual funds course creates unnecessary burdens