The OSC's research challenges the justification for DSCs and trailing commissions
In its submission to IIROC, the association also asked for clarity on the rules
The violation involved using 'soft dollars' to develop in-house software
Regulator may outsource task of accrediting CE activity to third-party firms
A paper sets out a proposed framework for categorizing smaller banks
Among other concerns, FAIR Canada notes the offenders would not be publicly identified
Decision takes effect immediately
Regulators should engage with a broader group of players, including tech-sector firms, FSB says
SEC says digital coins offered by Kik Interactive of Kitchener, Ont., should have been registered as securities
Consultation paper outlines regulatory issues such as safeguarding investors' assets and dealing with conflicts of interest