Under the agreement, Taylor had been appointed co-director/administrator for two discounts during his employment. After the death of his clients in 2011, he began to act as executor for both discounts, contrary to the MFDA rules and his employer`s rules. Below is an alphabetical list of mandatory deposit agreements signed on October 31, 2020 between the Mutual Fund Dealers Association of Canada (MFDA) as a simple agent on behalf of members and investment fund companies and other financial institutions pursuant to mFDA Staff Notice MSN-0058, Acceptable Securities Locations. Make sure your assets are held are included in the types of products listed by the entity. The former IDA (now IIROC) and the Canadian Investor Protection Fund (CIPF) entered into an agreement on May 9, 2005 in which all existing custody agreements, executed on behalf of the CIPF as a mere agent, were awarded to IIROC for transmission. In managing these custody agreements, IIROC is diligent in ensuring that the trust agreement is in the form prescribed and properly executed by those responsible. Copies of the agreement are available on request. Contact: Samantha Duffield Manager, Financial Compliance Phone: (416) 943-4662 Email: email@example.com The approved list for fiduciary agreements is updated and drawn up monthly. It is available on the IIROC website under Dealer Member Rules / IIROC Notices. AIC Limited awarded the agreement to Elliott Page Limited.
1. What is the purpose of the simple trust agreement According to MFDA, Taylor did not participate in an investigation into his conduct after the MFDA received an anonymous complaint, although Taylor has entered into a transaction agreement that will see him permanently banned from the industry. How many times is the approved list of nude agents drawn up? A former representative of the investment fund who served as executor and trustee for the rebates of two clients – and who inherited the Air Miles from a client as a beneficiary – was permanently banned from the industry. What documentation is required to include a fund manager in the monthly trustee list of IIROC directors? Two signed copies of the simple agent agreement (non-negotiable for the modification of the agreement). Middlefield Fund Management Limited awarded the contract to Middlefield Limited. The Mutual Fund Dealers Association of Canada (MFDA) on Tuesday announced a transaction agreement with James Russell Taylor, an employee of FundEX Investments Inc.