Securities and Exchange Commission Chair Mary Jo White has announced that she intends to leave at the end of the Obama Administration.
The Securities and Exchange Commission has announced an award of more than $20 million to a whistleblower.
Uncertainty remains about Trump’s policies, making it hard to predict what the U.S. administration will do come January 20, 2017, when Trump officially becomes president. Read: Nervous about Trump? Here’s what to watch But if his campaign website is any indication, Trump’s set to kick “unnecessary” regulation to the curb, suggests Financial-Planning.com. Could that include […]
In a speech Tuesday, Ontario Finance Minister Charles Sousa says the Liberal government will soon introduce legislation to establish its long-awaited Financial Services Regulatory Authority. He says the body will “modernize and strengthen” regulations, with more of a consumer focus, adding that the mandates of the Financial Services Commission of Ontario, the Financial Service Tribunal […]
Up for consultation is CSA Consultation Paper 33-404.
Assante Wealth Management and Stonegate Private Counsel, the wealth advisory divisions of CI Financial Corp., reached a record $37 billion in assets under management, the company said on Thursday. The results for CI Financial’s Q3 ending September 30 came amid headwinds from new regulations and pressures to change fees, Peter Anderson, CI’s chief executive, said […]
Under a new agreement, fintech companies in Australia and Ontario will be able to draw on support from financial regulators in both hemispheres as they expand their businesses.
The OSC wants to learn more about developments in the fintech space and the challenges robos face.
The advisor admitted to falsifying or using pre-signed account forms for more than a dozen clients, among other issues.
Clients with fee-based accounts holding investments with embedded trailer fees were overcharged. The bank has a plan to pay it all back.