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166 results found

Article

AUM Law | Canada | 1 May 2019

MFDA Reports on Targeted Review of Approved Persons’ Books of Business

On April 10, the Mutual Fund Dealers Association (MFDA) published a report (Report) on its review of the books of business of certain approved

Article

Borden Ladner Gervais LLP | Canada, Global | 9 Jan 2019

Securities Litigation in Canada

A structured guide to securities litigation in Canada

Article

AUM Law | Canada | 30 Nov 2018

Fumble or Touchdown: It's Up to You

A trio of settlement decisions from the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA)

Article

Borden Ladner Gervais LLP | Canada | 15 Nov 2018

MFDA Releases Revised Sanction Guidelines

The MFDA has released new sanctions guidelines which became effective on November 15 (the "Sanction Guidelines"), which it has characterized as a

Article

Osler Hoskin & Harcourt LLP | Canada | 26 Oct 2018

IIROC continues to obtain expanded national enforcement powers

On October 12, 2018, the Government of Nova Scotia passed legislation giving the Investment Industry Regulatory Organization of Canada (IIROC) the

Article

AUM Law | Canada | 12 Jul 2018

In Brief - MFDA Publishes 2018-2022 Strategic Plan

On June 19, the Mutual Fund Dealers Association (MFDA) published a five-year strategic plan. In light of the key themes and regulatory priorities that

Article

AUM Law | Canada | 12 Jul 2018

In Brief - MFDA Proposes Principles Based Sanction Guidelines

On May 23, the Mutual Fund Dealers Association (MFDA) published for comment proposed changes to its Sanction Guidelines. The amendments reflect

Article

Borden Ladner Gervais LLP | Canada | 9 Jul 2018

CSA Releases its review of the MFDA

On July 4, 2018, the Canadian Securities Administrators ("CSA") released their Oversight Review Report of the Mutual Fund Dealers Association of

Article

AUM Law | Canada | 4 Jun 2018

Tell the MFDA What You Think about Expanded Cost Reporting

On April 19, the Mutual Fund Dealers Association (MFDA) published a discussion paper (2018 Paper) on expanded cost reporting for investment funds

Article

Borden Ladner Gervais LLP | Canada | 3 May 2018

MFDA 2017 Annual Enforcement Report: New Focus on Dealer Sales Incentives

The Mutual Fund Dealers Association of Canada (MFDA) released its 2017 enforcement report. In addition to the new focus on sales

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