Most respondents to an MFDA poll said they supported rethinking the current SRO framework
Deloitte has examined IIROC’s proposal to merge with the MFDA
The inadequate supervision involved suitability, concentration in sector funds
Fund dealer admits to not fully investigating suspected rep misconduct
The self-regulatory organization calls on dealers and others to participate in consultations
Comments are due Oct. 23
The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe
Brampton man also fined $125,000
The mutual fund industry SRO has rejected IIROC's proposal for consolidation
'Hundreds of millions' in gains could be realized over the next 10 years, it says