- THE COURTS: RBC Dominion Securities Inc. v. Merrill Lynch Canada Inc. et al.
- COMPLIANCE: On January 18, 2007, the Mutual Fund Dealers Association of Canada ("MFDA") released the MFDA Penalty Guidelines (the "Guidelines"). The Guidelines were developed for use in imposing penalties in settled or contested MFDA disciplinary proceedings commenced pursuant section 20 and 24 of MFDA By-law No. 1.

type Brokers' Report - March 2007