Mutual Fund Dealers Association

IIROC, MFDA move to align with client-focused reforms

Self-regulatory organizations propose amendments covering KYC, KYP, suitability, and other areas

Ex-dealing rep accused of insider trading on pot company knowledge

OSC alleges that information obtained from WeedMD employee was also used to ‘impress clients’

Clients' DSC fund holdings fell 31% in two years, reports MFDA

Research provides in-depth look at distribution of mutual fund load structures across wealth groups

Exempt IIROC, MFDA advisors from title protection, IFIC says

Industry group asks Ontario regulator for leeway, urges cost-benefit analysis and consultation on equivalent titles

Siloed regulation stymies efforts at comprehensive advice, says IIROC

Independent studies including MFDA registrants confirm challenges as dealers and advisors strive to serve the modern investor

MFDA report highlights crucial role in Canadian economy

Statistics showing inequality in household wealth distribution underscores need for accessible financial services

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MFDA issues $850,000 fine, permanent ban for ex-dealing rep

Violations include unapproved referral arrangements, abusing powers of attorney, and providing false or misleading information

Ex-dealing rep banned for conflicted processing of orders

MFDA concludes failure to execute purchases in a timely manner added to respondent's compensation to clients' detriment

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