The Mutual Fund Dealers Association of Canada
("MFDA"), the self-regulatory organization for Canadian
mutual fund dealers, issued its Annual Report on March 10, 2016.
Among other things, it was noted that i) 2015 saw the highest
number of proceedings (69) commenced against "Members"
and "Approved Persons" than in any prior year, ii) the
MFDA focused its disciplinary proceedings on signature
falsification cases, and iii) a specialized unit for dealing with
fairness and timeliness of Member complaint handling was created.
Certain MFDA Hearing Panel cases of note are also profiled. A link
to the full report is found below:
http://www.mfda.ca/about/AnnReports/EnfAR2015.pdf
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