From the time it became eligible to collect monetary sanctions against industry wrongdoers in 2005, the Ontario Securities Commission has collected less than half of what’s due, according to a report issued by the regulator today.
Merrill Lynch was handed a victory by a U.S. arbitration panel after expert witnesses testified the portfolio in question was diversified.
Undislcosed executive-level jobs result in hefty fine, 10-year ban for MFDA registrant.
Fast-growing product offering is changing the licensing debate.
A disciplinary hearing in the matter of Douglas Wellings was held Tuesday in Toronto, Ontario before a three-person hearing panel of the MFDA's Central Regional Council.
A disciplinary hearing in the matter of Gregory Dickson was held Friday in Toronto, Ontario before a three-person hearing panel of the MFDA’s Central Regional Council An agreed statement of facts was filed prior to the hearing in which the respondent admitted to all the facts and allegations set out in the notice of hearing […]
A disciplinary hearing in the matter of Carmel Toussaint was held today in Toronto, Ontario before a three-member hearing panel of the MFDA's Central Regional Council.
A settlement hearing in the matter of Queensbury Strategies Inc. was held today in Toronto, Ontario before a hearing panel of the MFDA's Central Regional Council.
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 […]
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?