Mutual Fund Dealers Association

MFDA permanently bans errant ex-dealing rep

Self-regulatory organization finds former dealing representative misappropriated money and engaged in personal financial dealings

Why it's time to make ESG part of KYC

Responsible Investment Association argues lack of standards should not prevent conversations around sustainability and values

IIROC highlights progress on three-year strategic plan

SRO's annual report touts wins in pandemic operations, engagement with other regulators, and investor protection initiatives

Suitability rules should go further, says pro-investor group

Response to MFDA consultation urges changes to client risk profiling, plain-language explanations, and incorporating TCP info

Investment industry cautiously optimistic about new SRO plan

Advisors, MFDA, IIROC, and PMAC applaud CSA's plan to create single regulatory organization

CSA moving ahead with single-SRO plan

Transition to single Canadian self-regulator hailed as a bellwether for enhancing public confidence and investor protection

MFDA shines light on performance reporting pitfalls

Report outlines findings and recommendations for members to consider in instances of aberrant returns

Investors struggle to understand fees, MFDA wants to change that

A new report from the regulator suggests ways that fee disclosures in annual statements could be clarified

CSA finalizes measures to protect senior and vulnerable clients

Amendments affecting all registered firms, including IIROC and MFDA registrants, to come into force on December 31

NEO levels the ETF playing field for MFDA advisors

New solution provides real-time market visibility on Canada-listed ETFs for mutual fund advisor community