Mutual Fund Dealers Association

Search is on for leadership of new SRO

Canadian securities regulators actively seeking candidates for CEO and board

MFDA to review firms' DSC activity before ban

Self-regulator urges member firms to align with prohibition before May 2022 effectivity date

Don't let Ontario's title protection add to regulatory confusion, IIAC says

Industry association urges provincial regulator to carve out exemptions to avoid 'unnecessary duplication, confusion, and cost'

'Alternative mutual funds deserve to be in the toolbox'

Credentials and licensing leader at CSI backs MFDA's proposed proficiency rule for advisors to distribute liquid alts

Former Alberta dealing rep lied to hide money mischief, says MFDA

Ex-fund rep provided false statements to clients, firm as he diverted hundreds of thousands of dollars into his own accounts

Puppet advisor in hot water for role in stealth advice scheme

MFDA details how former Ontario fund representative enabled banned person to continue servicing clients

MFDA launches alt-fund proficiency rule consultation

Self-regulator floats policy to replace provincial regulators' exemption order

MFDA fines Quadrus six-figure sum for non-compliant incentive practices

Regulator uncovers more than 15-year failure to establish adequate system of controls to ensure adherence to securities law

Ex-fund rep fined for secret dealings with clients

Ex-dealing rep paid for leveraged investments he'd recommended, and borrowed $110,000 from a senior

Expect new Canadian SRO next year, says CSA

CEO and board of new self-regulator to be announced in Q2, with new organization and investor protection fund by end of 2022