Mutual Fund Dealers Association of Canada

The Mutual Fund Dealers Association of Canada (MFDA) is the national self-regulatory organization (SRO) for the distribution side of the Canadian mutual fund industry. 

It was established in June 1998 at the initiative of the Canadian Securities Administrators. The MFDA regulates the operations, standards of practice and business conduct of its Members and their representatives with a mandate to enhance investor protection and strengthen public confidence in the Canadian mutual fund industry.

Industries:
Financial Services|Mutual Funds

Latest

Jun 30, 2020, 17:54 ET MFDA Hearing Panel accepts settlement agreement with Keybase Financial Group Inc.

TORONTO, June 30, 2020 /CNW/ - A settlement hearing in the matter of Keybase Financial Group Inc. ("Respondent") was held on June 29, 2020 in Toronto, Ontario by electronic hearing before a...


Jun 30, 2020, 17:53 ET MFDA issues Notice of Settlement Hearing in respect of Nenad Mandic

TORONTO, June 30, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated June 22, 2020 regarding the presentation,...


Jun 30, 2020, 17:51 ET MFDA Hearing Panel accepts settlement agreement with MD Shakirul Alam

TORONTO, June 30, 2020 /CNW/ - A settlement hearing in the matter of MD Shakirul Alam ("Respondent") was held on June 29, 2020 in Toronto, Ontario by electronic hearing before a three-member Hearing...


Jun 30, 2020, 17:48 ET MFDA Hearing Panel issues Reasons for Decision in the matter of Tanya Castelino

TORONTO, June 30, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated June 30, 2020...


Jun 26, 2020, 17:33 ET MFDA Hearing Panel accepts settlement agreement with Frank Siu-Cheong Pa

TORONTO, June 26, 2020 /CNW/ - A settlement hearing in the matter of Frank Siu-Cheong Pa ("Respondent") was held on June 25, 2020 in Toronto, Ontario by electronic hearing before a three-member...


Jun 26, 2020, 17:22 ET MFDA Hearing Panel accepts settlement agreement with Leonard Coronel

TORONTO, June 26, 2020 /CNW/ - A settlement hearing in the matter of Leonard Coronel ("Respondent") was held on June 25, 2020 in Toronto, Ontario by electronic hearing before a three-member Hearing...


Jun 25, 2020, 15:07 ET MFDA welcomes the publication of the Canadian Securities Administrators' Consultation Paper on the Self-Regulatory Organization (SRO) Framework

TORONTO, June 25, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada (MFDA) today welcomes the publication of the Canadian Securities Administrators' (CSA) Consultation Paper 25-402...


Jun 24, 2020, 17:25 ET MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Jose Manalastas

TORONTO, June 24, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons dated June 19, 2020...


Jun 24, 2020, 17:19 ET MFDA Hearing Panel accepts settlement agreement with Jamie Leonard

TORONTO, June 24, 2020 /CNW/ - A settlement hearing in the matter of Jamie Lee Leonard ("Respondent") was held today in Toronto, Ontario by electronic hearing before a three-member Hearing Panel of...


Jun 18, 2020, 16:53 ET MFDA announces disciplinary proceeding in respect of Leszek Dziadecki

TORONTO, June 18, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Leszek Dziadecki ("Respondent"). In its Notice of Hearing...


Jun 18, 2020, 16:42 ET MFDA Hearing Panel issues Decision (Penalty) and Reasons in the matter of Lachman Balani

TORONTO, June 18, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision (Penalty) and Reasons dated June 16,...


Jun 16, 2020, 17:10 ET MFDA Hearing Panel accepts settlement agreement with Steven Hagerman

TORONTO, June 16, 2020 /CNW/ - A settlement hearing in the matter of Steven John Hagerman ("Respondent") was held today in Toronto, Ontario by electronic hearing before a three-member Hearing Panel...


Jun 16, 2020, 17:05 ET MFDA Hearing Panel issues Reasons for Decision in the matter of Christopher Davies

TORONTO, June 16, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated June 12, 2020...


Jun 15, 2020, 16:18 ET MFDA issues Notice of Settlement Hearing in respect of Frank Siu-Cheong Pa

TORONTO, June 15, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated June 3, 2020 regarding the presentation, review ...


Jun 10, 2020, 18:50 ET MFDA Hearing Panel makes finding of misconduct against Rebecca Wai-Chiu Li

TORONTO, June 10, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Rebecca Wai-Chiu Li ("Respondent") by Notice of Hearing dated...


Jun 10, 2020, 18:16 ET MFDA Hearing Panel imposes sanctions against Duke Ongechi

TORONTO, June 10, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Duke Mongare Ongechi ("Respondent") by Notice of Hearing dated...


Jun 09, 2020, 18:51 ET Statement from MFDA President & CEO Mark Gordon Regarding IIROC Position Paper

TORONTO, June 9, 2020 /CNW/ - In early February, the MFDA published its comprehensive policy analysis of the SRO framework, A Proposal for a Modern SRO: A Special Report on Securities Industry...


Jun 04, 2020, 16:22 ET MFDA Hearing Panel accepts settlement agreement with Tanya Castelino

TORONTO, June 4, 2020 /CNW/ - A settlement hearing in the matter of Tanya Francesca Castelino ("Respondent") was held today in Toronto, Ontario by electronic hearing before a three-member Hearing...


Jun 03, 2020, 17:35 ET MFDA issues Notice of Settlement Hearing in respect of Keybase Financial Group Inc.

TORONTO, June 3, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated June 1, 2020 regarding the presentation, review...


Jun 02, 2020, 17:47 ET MFDA announces disciplinary proceeding in respect of Krystal Vanlandschoot

TORONTO, June 2, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Krystal Jean Vanlandschoot ("Respondent"). In its Notice of...


Jun 02, 2020, 17:43 ET MFDA Hearing Panel approves settlement agreement with Vasant Patel

TORONTO, June 2, 2020 /CNW/ - A settlement hearing in the matter of Vasant Pragjibhai Patel ("Respondent") was held today by electronic hearing in Vancouver, British Columbia before a three-member...


Jun 02, 2020, 17:38 ET MFDA issues Notice of Settlement Hearing in respect of Leonard Coronel

TORONTO, June 2, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") announced that it has issued a Notice of Settlement Hearing dated May 29, 2020 regarding the presentation, review...


Jun 02, 2020, 17:36 ET MFDA announces disciplinary proceeding in respect of Douglas Tuitakalai

TORONTO, June 2, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Douglas Elia Tuitakalai ("Respondent"). In its Notice of...


May 13, 2020, 17:44 ET MFDA Hearing Panel issues Reasons for Decision in the matter of Evangelos-Angelos Mantzios

TORONTO, May 13, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated May 13, 2020...


May 13, 2020, 17:37 ET MFDA Hearing Panel approves settlement agreement with Rohit Jaswal

TORONTO, May 13, 2020 /CNW/ - A settlement hearing in the matter of Rohit Jaswal ("Respondent") was held today by electronic hearing in Vancouver, British Columbia before a three-member Hearing Panel ...