MFDA

Worried about conflicts of interest? IIROC and MFDA are watching Fallback Image Decorative pattern

Industry

Worried about conflicts of interest? IIROC and MFDA are watching

Managing potential conflicts of interest is an important part of your job, as is meeting the compliance and disclosure requirements related to such conflicts.

By Katie Keir |December 16, 2016

3 min read

MFDA rep suspended, fined $45,000 Fallback Image Decorative pattern

Industry

MFDA rep suspended, fined $45,000

A settlement hearing in the matter of John Alojz Kodric was held on December 6, 2016 in Toronto, Ontario, before a three-member hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada.

By Staff |December 7, 2016

2 min read

MFDA bans advisor for secret side business Fallback Image Decorative pattern

Industry

MFDA bans advisor for secret side business

The MFDA says the advisor also took an inappropriate client loan and used pre-signed client forms.

By Staff |November 16, 2016

1 min read

ETFs and MFDA advisors: what does it mean for you? Fallback Image Decorative pattern

Planning and Advice

ETFs and MFDA advisors: what does it mean for you?

Should you fear or welcome the increased competition?

November 4, 2016

2 min read