Mutual Fund Dealers Association

What will it take to broaden alternatives adoption in Canada?

Why dealer firms favour 'plain vanilla types' of investment offerings

All systems go for New SRO

CSA publishes notices recognizing single self-regulatory organization on January 1

MFDA issues six-figure fine for WealthSimple affiliate

Self-regulatory organization finds firm failed to ensure client information confidentiality during onboarding process

Ex-dealing rep permanently banned for embezzling client's money

MFDA finds former dealing rep misappropriated tens of thousands of dollars to farm commissions, pay debts

Lifetime ban for advisor that pushed leveraged investments

MFDA finds former dealing rep submitted inaccurate or falsified information on clients' risk tolerance and net worth

Why Ontario wants national title protection harmonization… based on its model

Harder to define financial advisor than financial planner, says CEO

Saskatchewan’s FA title proposal the right path forward, says veteran advisor

Industry veteran says higher bar on professionalism needed to rebuild consumer trust

IIROC's proficiency initiative a positive step for the industry

Founder of Learnedly says SRO's announcement will help address long-standing issues among firms and registrants

Ask yourself: would you buy your own practice?

John Novachis, of Investment Planning Counsel, reminds advisor owners to look beyond the markets in evaluating their business

New SRO is a win for everyone, say dealers

Rules being phased in from January 1 will make it 'flexible and easy' to become dual-registered firm