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ARTICLE · 21 MARCH 2016

MFDA 2015 Annual Enforcement Report Is Released

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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.

CanadaFinance and Banking
Bevan Brooksbank
Bevan Brooksbank
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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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