New SRO承担了MFDA和IIROC的监管职责。New SRO是国家自律组织,负责监督加拿大债券和股票市场上的所有投资交易商、共同基金交易商和交易活动。 New SRO承担着加拿大投资行业监管组织(Investment Industry Regulatory Organization of Canada)和加拿大互惠基金交易商协会(Mutual Fund Dealers Association of Canada)的监管职能,...
The Mutual Fund Dealers Association of Canada (MFDA) was formed in 1988 as a non-profit corporation at the behest of theCanadian Securities Administrators(CSA). Its creation came in response to a ten-fold increase in the size of the mutual fund industry in the late 1980s, and amid concerns...
An additional tier of governance is provided by self-regulatory organizations such as the Investment Dealers Association of Canada (IDA--which doubles as the securities industry's national trade association), the Mutual Fund Dealers Association (MFDA), and Market Regulation Services Inc. Canadian feder...
MFDA Points To Compliance Problems.The article probes into common compliance deficiencies outlined by the Mutual Fund Dealers Association of Canada following its second round of examinations.EBSCO_bspCompliance Reporter