MFDA

MFDA accepts settlement with Sentinel Financial Fallback Image Decorative pattern

Industry

MFDA accepts settlement with Sentinel Financial

A settlement hearing in the matter of Sentinel Financial Management Corp. was held Thursday in Saskatoon, Saskatchewan before a hearing panel of the MFDA’s Prairie Regional Council. The hearing panel accepted the settlement agreement between MFDA staff and the respondent, as a consequence of which: 1) the respondent has paid a fine in the amount […]

By Staff |July 15, 2011

1 min read

New directions for distribution Fallback Image Decorative pattern

Industry

New directions for distribution

How is Distribution evolving, and what are the forces at play in this evolution? Will managing general agents (MGAs) get their own self-regulatory organization? Does the Mutual Fund Dealers Association (MFDA), and the distribution model it oversees, have a future? Is there a place for smaller players in the emerging landscape, or does the writing on the wall say only big guns need apply? What does the evolution of the distribution space mean for advisors, and the clients whom they serve?

By Staff |June 15, 2011

10 min read

MFDA issues reasons in matter of Chris McAuley Fallback Image Decorative pattern

Industry

MFDA issues reasons in matter of Chris McAuley

A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on March 23, 2011 in the matter of Chris. M. McAuley. Read a copy of the Reasons for Decision.

By Staff |June 3, 2011

1 min read

MFDA makes findings against Mark Lindsay Fallback Image Decorative pattern

Industry

MFDA makes findings against Mark Lindsay

The MFDA commenced a disciplinary proceeding in respect of Mark Lindsay by notice of hearing dated February 23, 2011. After hearing submissions from staff of the MFDA, the hearing panel found that the following allegations in the notice of hearing had been established: Allegation #1: Between approximately October 2007 and December 2008, the respondent failed […]

By Staff |June 3, 2011

2 min read