IIROC, the OSC and the MFDA have released the results of their joint mystery-shopping initiative, and advisors didn’t disappoint.
Clients are concerned for their finances after they received an apology letter.
MFDA gets top marks for CRM2 explainer
MFDA wants proficiency standards for reps selling ETFs
On September 24, 2015, a three-member hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada heard three separate proceedings.
A settlement hearing in the matter of Joseph Daniel Laurie was held today in Halifax, Nova Scotia before a three-person hearing panel of the Atlantic Regional Council of the MFDA.
A hearing panel of the Central Regional Council of the MFDA has issued its Reasons for Decision in connection with a disciplinary hearing held on June 2, 2015.
The MFDA wants your input on how it should develop a continuing education requirement.
A settlement hearing in the matter of Clayton Kurt Swerdelian was held on February 26, 2015 in Calgary, Alberta before a hearing panel of the Prairie Regional Council of the MFDA.
On April 17, 2015, a settlement hearing was held in Vancouver before a three-person panel of the Pacific Regional Council of the MFDA.