Jun 30, 2021 | Investment Funds, Regulatory Compliance
On June 4, 2021, the Mutual Fund Dealers Association of Canada (MFDA) published Account Transfers – Summary of Comments (Bulletin), summarizing the comments that the self-regulatory organization received in response to MFDA Consultation Paper on Account Transfers...
Jan 29, 2021 | Investment Funds, Regulatory Compliance
On January 28, the Canadian Securities Administrators (CSA) issued temporary blanket relief, which is expected to be codified at a later date. This relief expands the list of courses that allow mutual fund dealing reps to sell liquid alt funds thereby increasing...
