The MFDA has published a discussion paper on the use of investor questionnaires to improve the Know-Your-Client (KYC) process.
The MFDA has fined the alleged ringleader of a fraudulent hedge fund operation $2 million.
The MFDA has published for public comment proposed amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations).
Canada’s system for resolving disputes between advisors and clients is badly broken.
The MFDA has announced it has approved the amalgamation of IPC Investment Corporation and Independent Planning Group Inc.
The MFDA has released its enforcement report for 2013.
MFDA uncovers one of largest frauds in its history and hands down $6-million fine.
On March 27, 2013, an MFDA hearing panel approved a settlement agreement reached between the MFDA and Grant Bryan Page.
The MFDA has released an annual enforcement report.
Despite repeated warnings and enforcement action from Canadian SROs, some individuals and dealers continue to operate with blatant disregard for investor interest.