Mutual Fund Dealers Association

CSA proposing changes to senior-protection guidelines

Amendments address situations of compromised mental capacity or potential financial exploitation of vulnerable clients

MFDA proposes ‘new kind of SRO’

New report proposes “blank page” approach to creating a single, frontline regulator

CSA unveils plans for SRO framework review

Self-regulatory organizations welcome opportunity for consultation as regulators revisit current structure

Lifetime ban for ex-advisor who solicited almost $300,000 from clients

Former mutual fund rep also fined $150,000 for violations, which include investing outside of an MFDA member firm

MFDA issues guidance on protecting seniors from exploitation

The association offers best practice to help protect older and vulnerable clients

Too many regulatory cooks in financial advice industry?

Merging self-regulatory organizations would create a better oversight regime, argues former president and CEO of IFIC

Cash-strapped FAIR Canada returns $2.4 million to Jarislowsky Foundation

The investor advocacy group’s efforts to get support from industry stakeholders were not enough to satisfy a key condition

Advisor banned for pushing risky leveraged-investment strategy

The man filled documents with incorrect KYC information, misrepresented or failed to disclose risks, and made unsuitable leveraging recommendations

Investor advocacy group calls for transparency in dealer loss calculation

The change, they said, would resolve an unbalanced situation for retail investor complainants

Regulatory changes shaking up the advisor-client relationship

Financial regulators seek to improve investor protection through some rule proposals