Mutual Fund Dealers Association

'We've always tried to do the right thing'

President of Canada's newest independent firm explains efforts to purge structural conflicts and sharpen client focus

FSRA revokes insurance agent's licence over misconduct

He was found to have engaged in unfair or deceptive practices

Lifetime ban, $145k fine for dealing rep who stole from client

Mutual fund rep misled firm when confronted about large transaction into his own account, says CIRO

New SRO finally gets a new name and logo, but one hurdle remains

The merged regulator has been operating since the start of the year under the generic 'New SRO' handle

ASC backs sanctions against ex-fund rep in ‘prank’ death case

Former dealing rep claims branch manager approved purchase orders from grandnephew trustee to deceased woman

Former dealing rep failed to disclose his wife was executor of client's will

New SRO dishes out eight-year ban and hefty fine

Title protection: New SRO wants to be credentialing body

Move would enable thousands of advisors to use 'Financial Advisor' title, says CEO

Advisor inheritance case a cautionary tale for Canadian wealth industry

Case of ex-dealing rep named as sole beneficiary to elderly client's $1.8-million estate holds lessons for firms and advisors

Ex-dealing rep asked elderly clients to name him in their wills

Regulatory filing reveals conflicts including soliciting monies from vulnerable seniors to buy a home

Advisor banned after borrowing money from client to buy property

Former MFDA dealing rep also solicited money from clients to fund childcare business