Mutual Fund Dealers Association

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

MFDA wants shorter account transfer timelines

SRO points to technological improvements, automated processes, and standardized forms as possible solutions to delays

Former fund rep banned for life for violating father’s trust

MFDA upholds sanctions against ex-dealing rep who deposited funds from redemptions into his own account

KYC uniformity a problem, says MFDA

Annual enforcement report highlights work on complaint handling, suitability, and protecting vulnerable investors

End discount brokers' overcharging now, urges investor advocate

Kenmar Associates says 2022 ban on trailing commissions shouldn't act as license for long-standing 'malpractice' among OEO firms

COVID-19 isolation raises risks for vulnerable investors, says MFDA

New paper from regulator highlights factors behind vulnerability and how firms can help protect at-risk clients

Taking true wealth advice to the masses

Tech platform firm Agora Dealer Services is on a mission to help small independent dealers go toe-to-toe against larger firms

Former advisor banned forever from IIROC and MFDA

SROs separately handed down lifetime prohibitions for respondent’s off-book syndicated mortgage sales

Technology, transformation top IIROC compliance priorities

Report from pan-Canadian regulator underscores ongoing issues and upcoming policy initiatives

MFDA unveils single SRO implementation roadmap

Plan proposes to promote public confidence by establishing new entity, rather than merge existing SROs, over an 18-month timeline