Disgorgement – Proposed Amendments to the Mutual Fund Dealer Rules
The Canadian Investment Regulatory Organization (CIRO) is proposing to amend section 7.4.1 of the Mutual Fund Dealer (MFD) Rules to specifically provide for disgorgement, in order for the MFD Rules to conform with the Investment Dealer and Partially Consolidated (IDPC) Rules (the “Proposed Amendments”).
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