The province's fall economic update confirmed legislation is coming
Vancouver and Toronto get all the attention, but another Canadian housing market saw big gains last month. Average Montreal island home prices hit a record high of almost $500,000 in October, rising 12.7% from the prior year, the area’s real estate board said Monday. Single family homes in the city and suburbs saw price increases […]
The SRO is currently reviewing its CE program
What results from the 2016 oversight review reveal for dealers
Proposed regulator suffers from key flaws
The two national regulators will exchange information to protect consumers
Here's a list of compliance mistakes you need to watch out for
01 IIROC compensation review In April, IIROC published guidance on managing compensation-related conflicts after reviewing 20 firms. The review identified three concerns: disclosure gaps, a lack of oversight of compensation grids and policies, and a shift to fee-based accounts without supervision or risk monitoring. The guidance, along with CSA’s proposal on banning embedded commissions, indicates […]
When it comes to legislation and oversight, advisors and dealers aren't the only ones under scrutiny in Ontario
OSC and RBC Registrants come to no-contest settlement agreement, after RBC self-reported