Mutual Fund Dealers Association

Former advisor fined for complaint reporting failures

The respondent violated IIROC regulations and misled staff during an investigative interview

How should Canada's investment industry be regulated?

IIROC, MDFA welcome call for feedback from industry professionals, investors, and other stakeholders by the CSA

MFDA says 'Canada deserves better' than IIROC merger proposal

IIROC releases paper outlining number of benefits but MFDA CEO responds by saying plan will help only the industry, not investors

Burden reduction push could be going too far, warns investor advocate

Investor-protection group questions initiatives including 'open for business' culture and coronavirus concessions

Pre-signed forms continue to lead MFDA cases

Latest enforcement report highlights pervasive problem as well as enhancements to regulatory powers

CSA proposing changes to senior-protection guidelines

Amendments address situations of compromised mental capacity or potential financial exploitation of vulnerable clients

MFDA proposes ‘new kind of SRO’

New report proposes “blank page” approach to creating a single, frontline regulator

CSA unveils plans for SRO framework review

Self-regulatory organizations welcome opportunity for consultation as regulators revisit current structure

Lifetime ban for ex-advisor who solicited almost $300,000 from clients

Former mutual fund rep also fined $150,000 for violations, which include investing outside of an MFDA member firm

MFDA issues guidance on protecting seniors from exploitation

The association offers best practice to help protect older and vulnerable clients