Performance Reporting Targeted Review

bulletin0869-C
Type:
Compliance Bulletin
Division
Mutual Fund Dealer

In 2020 the MFDA commenced a targeted review focused on performance data reported to clients by Members. This initiative was part of our continued efforts to use data and analytics to focus on risk areas and issues that are impactful to clients. The attached report provides a summary of the analysis and work performed during the review, our key findings and recommendations.

bulletin0869-C
Type:
Compliance Bulletin
Division
Mutual Fund Dealer

Other Notices associated with this Enforcement Proceeding:

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