MFDA

AIMA proposes proficiency courses for MFDA reps AIMA proposes proficiency courses for MFDA reps

Industry

AIMA proposes proficiency courses for MFDA reps

The proposal would pave a way for MFDA reps to sell alt funds

By James Langton |January 30, 2020

2 min read

Court sentences, fines former fund dealer exec Fallback Image Decorative pattern

Industry

Court sentences, fines former fund dealer exec

The former head of W.H. Stuart Mutuals Ltd. must pay $1.1 million in restitution

By James Langton |January 28, 2020

1 min read

MFDA announces compliance priorities for year ahead Fallback Image Decorative pattern

Industry

MFDA announces compliance priorities for year ahead

The SRO wants to make sure firms’ client reporting is accurate

By James Langton |January 23, 2020

2 min read

MFDA bans, fines former rep for failure to co-operate Fallback Image Decorative pattern

Industry

MFDA bans, fines former rep for failure to co-operate

The decision is the latest in connection with falsified loan applications through Investors Group

By Staff |January 8, 2020

2 min read