Fund dealers' first CE cycle to kick off on Dec. 1
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
Ex-rep admitted to misappropriating money and undisclosed borrowing from a client
The client was repaid, but the funds used to repay the client came from a mysterious source
The proposals are out for a 60-day comment period
The SRO has warned firms against using delay tactics when a client decides to move on
The regulator handed out $3.4 million in fines last year, down from $9.3 million in 2019
As ETF assets in the MFDA channel continue to grow, more firms are hopping on board
A new MFDA paper aims to take the mystery out of client vulnerability