Mutual Fund Dealers Association

MFDA's 2021 priorities put clients in focus

SRO bulletin sets out priorities concerning vulnerable clients, performance reporting, and client-focused reforms, among others

CSA on pace to publish SRO framework recommendations

Securities regulators reviewing submissions from consultation, as well as other data and analyses

COVID-19 and the top trends of 2021, according to Croesus

Firm looks to a global pandemic recovery and why 2020 will change the portfolio management world

‘This doesn’t have to be kept under lock and key’

Michael White of Picton Mahoney shares thoughts on CSA's liquid-alternative blanket relief order and industry's likely next steps

FAIR Canada lauds CMMT recommendations

Investor advocacy group applauds taskforce’s work, identifies some areas of concern for governments and regulators

MFDA taking first steps toward single-SRO roadmap

Industry self-regulator announces initiative toward ‘bold new vision’ of fundamental reform to promote public interest

Lifetime ban for ex-dealing rep who hijacked client’s account

Former dealing representative violated client's trust by changing contact details to conceal unauthorized transactions, says MFDA

Book-loss calculations panned as ‘blind spot’ in complaint handling

Compensation of harmed investors should consider opportunity costs of unsuitable advice, argues advocate

CSA widens path for distributing liquid-alt funds

Regulator issues blanket relief allowing additional proficiency options for mutual fund dealing reps

Dealing rep fined for sales-driven transaction processing

Transactions in 2016 and 2017 were done to help fund advisor increase his compensation, MFDA says