Mutual Fund Dealers Association – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Wed, 06 Nov 2024 18:18:24 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mutual Fund Dealers Association – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Fund rep sanctioned for allowing ‘stealth advising’ https://uat-phoenix.investmentexecutive.com/news/fund-rep-sanctioned-for-allowing-stealth-advising/ Wed, 06 Nov 2024 18:18:10 +0000 https://www.investmentexecutive.com/?p=496155 Fund dealer fiduciary duty class action fails https://uat-phoenix.investmentexecutive.com/news/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 SRO investigation clashes with legal action https://uat-phoenix.investmentexecutive.com/news/sro-investigation-clashes-with-legal-action/ Wed, 16 Oct 2024 13:32:33 +0000 https://www.investmentexecutive.com/?p=494849 Court rejects appeals from fund rep, OSC https://uat-phoenix.investmentexecutive.com/news/court-rejects-appeals-from-fund-rep-osc/ Fri, 30 Aug 2024 17:04:37 +0000 https://www.investmentexecutive.com/?p=491914 CIRO proposes personal corporations for reps https://uat-phoenix.investmentexecutive.com/news/ciro-proposes-personal-corporations-for-reps/ Thu, 25 Jan 2024 21:23:02 +0000 https://www.investmentexecutive.com/?p=479285 CIRO drops harmonized sanctions guidance https://uat-phoenix.investmentexecutive.com/news/ciro-drops-harmonized-sanctions-guidance/ Thu, 21 Dec 2023 21:57:26 +0000 https://www.investmentexecutive.com/?p=477784 Potential class action against fund reps revived https://uat-phoenix.investmentexecutive.com/news/potential-class-action-against-fund-reps-revived/ Thu, 21 Dec 2023 20:14:17 +0000 https://www.investmentexecutive.com/?p=477768 Patron saint of investor protection passes away https://uat-phoenix.investmentexecutive.com/news/patron-saint-of-investor-protection-passes-away/ Mon, 23 Oct 2023 19:11:50 +0000 https://www.investmentexecutive.com/?p=473832 CIRO takes step toward consolidated dealer rules https://uat-phoenix.investmentexecutive.com/news/ciro-takes-step-toward-consolidated-dealer-rules/ Fri, 20 Oct 2023 20:32:43 +0000 https://www.investmentexecutive.com/?p=473795 CIRO to step up fund dealer oversight in Quebec https://uat-phoenix.investmentexecutive.com/news/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:43:17 +0000 https://www.investmentexecutive.com/?p=472776