Sentences with phrase «mutual fund dealers»

There's a large billboard for a large mutual fund dealer that I pass by every day on my way home from work.

Not available from companies registered only as mutual fund dealers.

It's also important to understand that many mutual fund dealers are not licensed to sell exchange - traded funds.

include copies of the FTC ISI and Mutual Fund Dealers Association (MFDA) Client Complaint Information Forms which outline the complaint handling process;

The MFDA has also entered into a co-operative agreement with the Autorit des march s financiers and actively participates in the regulation of mutual fund dealers in Quebec.

Using detailed data from two large Canadian mutual fund dealers (accounting for about 5 % of their sector) for 3,276 Canadian financial advisors and their 488,263 clients, and returns and fees for 3,023 associated mutual funds, during January 1999 through December 2013, they find that:

CWF is a registered mutual funds dealer, offering the CWB Onyx Portfolio Series ™, CWB Core Mutual Funds ™ and a selection of other leading mutual fund solutions through Canadian Western Bank's branch network.

You can also work with an independent adviser who is affiliated with a non-bank mutual fund dealer, including large institutions like Assante Wealth Management, as well as smaller, lesser - known firms.

The number one Mutual Fund Dealer Software in Canada is FUNDSERVER by Back Office.

The plaintiff, Ms. Unegbu, invested in mutual funds through a leveraged account at the defendant mutual fund dealer in June 2008.

Securities industry regulators, including the Investment Industry Regulatory Organization of Canada (IIROC); Mutual Fund Dealers Association (MFDA); and the Ontario Securities Commission (OSC)

Using detailed data from two large Canadian mutual fund dealers (accounting for about 5 % of their sector) for 3,276 Canadian financial advisors and their 488,263 clients, and returns and fees for 3,023 associated mutual funds, during January 1999 through December 2013, they find that:

She suggested two other funds from large mutual fund dealers in Canada and I signed up without much hesitation.

3) 31 days» notice is required prior to withdrawal of funds from Notice Period Series A and Notice Period Series F 4) The account is available through registered investment dealers or mutual fund dealers in Canada only.

By delivering ETFs in a mutual fund wrapper, ETFs become easily accessible to financial advisors who lack access to an ETF trading platform — mostly advisors licensed by the Mutual Fund Dealers Association of Canada.

CWF is the mutual fund dealer for Canadian Western Bank (CWB) and is a CWB Wealth Management subsidiary.

The two SROs in Canada are the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA).

FTC Investor Services Inc. is a mutual fund dealer and a wholly owned subsidiary of Fiduciary Trust Company of Canada.

Today, FTC Investor Services Inc. is a subsidiary of Fiduciary Trust Company of Canada and is registered as a mutual fund dealer authorized to sell Franklin Templeton Investments mutual funds.

Note that mutual fund dealers are not regulated by IIROC and are therefore not covered by the CIPF.

However, the Mutual Fund Dealers Association (MFDA) provides similar coverage (except in Quebec) through the MFDA Investor Protection Corporation.

As well, the Mutual Fund Dealers Association of Canada (MFDA) offers a 4 - part toolkit that investors can use as a guide including checking out your advisor and the organization to see if either has been litigated against.

Pat Dunwoody, executive director of CEFTA, has been leading this effort along with Sandra Kegie, her counterpart at the Federation of Mutual Fund Dealers, which represents the fund industry.

The role of the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) is to ensure that dealer firms and their employees follow the rules, and they can discipline rogue advisors.

Investment advisors in Canada can be licensed by either the Mutual Fund Dealers Association (MFDA) or the Investment Industry Regulatory Organization of Canada (IIROC).

Advisors who are licensed by the Mutual Fund Dealers Association (MFDA)-- and there are many more of these — are not permitted to sell them.

With the implementation of CRM2, Canadian banks, investments brokers, mutual funds dealers and other financial entities must disclose the method used to calculate the rate of return of a portfolio or investments like an ETF or a mutual fund.

A Mutual Fund Company that is involved solely in the manufacture of mutual funds tend to distribute their funds through mutual fund representatives, investment advisors, financial planners, mutual fund dealers and life insurance agents, while the banks, credit unions and their Quebec counter part the caisses populaire distribute their fund products through their retail branches as well as via independent advisors and brokers.

There is also extensive self - regulation by the Investment Dealers Association of Canada, the Mutual Fund Dealers Association of Canada and the Canadian stock exchanges including the fast moving and innovative TMX with it's full line - up of exchange - traded funds.

The KYC rules are enforced through regular audits by the Mutual Fund Dealers Association and the Investment Industry Regulatory Organization of Canada, the bodies that license most advisors in Canada.

A new policy could make recognizing firms regulated by the Mutual Fund Dealers Association of Canada (MFDA) easier for Canadian investors.

The Mutual Fund Dealers Association of Canada (MFDA) found indications of such inconsistencies in a review of integrated members last year.

Nearly two weeks after the Mutual Fund Dealers Association of Canada (MFDA) released its consultation on expanded cost reporting, investor advocate group Kenmar Associates has submitted its comments on the proposal.

Clients resident in other provinces or territories should contact their mutual fund dealer or CIBC Asset Management Inc. / Renaissance Investments at 1-888-888-3863.

Canadian SROs include the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada.

The Mutual Fund Company is clear and present as the manufacturer of varied types of mutual funds for the Mutual Fund Representative, Mutual Fund Advisors and Mutual Fund Dealer to market -LSB-...]

Short for self regulatory organization such as the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada.

However, the true barrier to the ETF market remains the technological aspect that would connect a mutual fund dealer's trading system to an exchange.

Mutual fund dealers and advisors often defend DSCs as a way of encouraging long - term investments.

There's another more insidious charge you should be aware of if you're transferring your account from a large mutual fund dealer.

The OBSI is an independent organization that investigates customer complaints against financial services providers, including banks, investment dealers and mutual fund dealers in order to provide an impartial resolution of customer complaints.

Trailing commissions are paid by the investment fund manager (for TD Mutual Funds, this is TD Asset Management Inc.) to the mutual fund dealer (TD Investment Services Inc.).

The Mutual Fund Dealers Association (MFDA) recently published a discussion paper on expanding cost reporting.

Be aware that mutual fund dealers in Canada are not licensed by IIROC and are therefore are not covered by the CIPF.

The Mutual Fund Dealers Association of Canada's (MFDA) rules require mutual fund dealers, including TD Investment Services Inc. to use due diligence to ensure that each order accepted or recommendation made for any client's account is suitable for the client and in keeping with their investment objectives.